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Comment Period Ends: SEC Request for Public Feedback to Inform Policy for Exchange-Traded Products

June 17, 2015

U.S. securities regulators are asking the public to weigh in on how new and novel exchange-traded products should be listed, marketed and traded, as part of an effort to potentially write new rules for the sector.

The Securities and Exchange Commission cited an ever-increasing number of requests by funds to launch new kinds of complex products and investment strategies.

“Exchange-traded products have become an increasingly important investment vehicle to market participants ranging from individuals to large institutional investors,” said SEC Chair Mary Jo White in a statement.

Late last year, White laid out a plan to enact a series of new rules for asset managers.

The sector has come under increased scrutiny by U.S. regulators in recent years, as part of an effort to try and identify whether certain products or activities could pose systemic risk.

In the speech, White did not specifically propose rules for exchange-traded products, but noted that the industry has grown significantly.

Exchange-traded products, such as exchange-traded funds or exchange-traded notes, are rapidly becoming more and more popular among retail investors.


June 17, 2015
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