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SEC to Consider ETF Proposal, Liquidity Rule Changes at Open Meeting

The SEC announced it will hold an open meeting on June 28, 2018 to consider several items, including whether to propose rule 6c-11 under the 1940 Act, which would permit ETFs that satisfy certain conditions to operate without first obtaining an exemptive order from the SEC, as well as related form amendments. The ETF rule re-proposal has been a high priority on the SEC’s regulatory agenda and was expected to be proposed before Commissioner Michael Piwowar steps down on July 7.  The SEC will also consider whether to adopt amendments to Form N-PORT and Form N-1A related to disclosures of liquidity risk management for registered funds; amendments to the whistleblower program rules; and whether to adopt amendments to the definition of “smaller reporting company,” among other items.

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