Publications and Presentations
August 25, 2015

Moriarty Submits Comments to SEC on ETPs

Corporate partner Kathleen Moriarty recently co-authored a response Read more in The Financial Time's "BlackRock Renews Push for Stricter ETF Definition”to the Securities and Exchange Commission’s Request for Comment on Exchange-Traded Products. The primarily regulatory-focused response, submitted to the SEC on August 17, addresses topics related to the listing and trading of exchange-traded products (ETPs) on national securities exchanges. Moriarty and her co-author, Deborah Fuhr, Managing Partner of ETFGI LLP in London, discuss the confusion that both retail investors and investment professionals have about the specific regulatory structure of various products and their classifications as ETFs, ETNs, ETCs and ETPs. They provide an example of how and why this confusion permeates the ETP industry, and offer several key standardization and clarification remedial actions that would affect all ETP industry participants (sellers, buyers, commentators, media and research providers) alike.

» Read the response.

» See the list of all ETP comments to the SEC.

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