United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2008_register executive 2010-09-23 article Part III Proposed Rules D09002ee1c8093c11 D09002ee1c8093d20 United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission ("Commission" or "SEC") is proposing a new rule under the Investment Company Act of 1940 that would exempt exchange-traded funds ("ETFs") from certain provisions of that Act and our rules. The rule would permit certain ETFs to begin operating without the expense and delay of obtaining an exemptive order from the Commission. The rule is designed to eliminate unnecessary regulatory burdens, and to facilitate greater competition and innovation among ETFs. The Commission also is proposing amendments to our disclosure form for open-end investment companies, Form N-1A, to provide more useful information to investors who purchase and sell ETF shares on national securities exchanges. In addition, the Commission is proposing a new rule to allow mutual funds (and other types of investment companies) to invest in ETFs to a greater extent than currently permitted under the Investment Company Act. 73 FR 14618 https://www.govinfo.gov/app/details/FR-2008-03-18/E8-5239 E8-5239 fr18mr08-30 RIN 3235-AJ60 8011-01-P Release Nos. 33-8901 IC-28193 File No. S7-07-08 https://www.govinfo.gov/app/details/FR-2008-03-18/E8-5239 https://www.govinfo.gov/content/pkg/FR-2008-03-18/html/E8-5239.htm https://www.govinfo.gov/content/pkg/FR-2008-03-18/pdf/E8-5239.pdf Reporting and Recordkeeping Requirements Securities Investment Companies 41 p. 14618 14658 73 FR 14618 Title 17 Part 239 17 CFR Part 239 Title 17 Part 270 17 CFR Part 270 Title 17 Part 274 17 CFR Part 274 RIN 3235-AJ60 Exchange-Traded Funds; Federal Register Vol. 73, Issue PRORULE E8-5239 III SECURITIES AND EXCHANGE COMMISSION 2008-05-19 Release Nos. 33-8901 IC-28193 File No. S7-07-08 8011-01-P E8-5239 Proposed rule.

The Securities and Exchange Commission ("Commission" or "SEC") is proposing a new rule under the Investment Company Act of 1940 that would exempt exchange-traded funds ("ETFs") from certain provisions of that Act and our rules. The rule would permit certain ETFs to begin operating without the expense and delay of obtaining an exemptive order from the Commission. The rule is designed to eliminate unnecessary regulatory burdens, and to facilitate greater competition and innovation among ETFs. The Commission also is proposing amendments to our disclosure form for open-end investment companies, Form N-1A, to provide more useful information to investors who purchase and sell ETF shares on national securities exchanges. In addition, the Commission is proposing a new rule to allow mutual funds (and other types of investment companies) to invest in ETFs to a greater extent than currently permitted under the Investment Company Act.

Comments should be received on or before May 19, 2008. With respect to proposed rule 6c-11 and amendments to Form N-1A, Dalia Osman Blass, Senior Counsel, or Penelope Saltzman, Acting Assistant Director, (202) 551-6792, with respect to proposed rule 12d1-4 and proposed amendments to rule 12d1-2, Adam Glazer, Senior Counsel, or Penelope Saltzman, Acting Assistant Director, (202) 551-6792, Office of Regulatory Policy, Division of Investment Management, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5041. Reporting and Recordkeeping Requirements Securities Investment Companies Exchange-Traded Funds, rule-comments@sec.gov http://members.ici.org/stats/etfdata.xls http://www.ici.org/perspective/per07-03.pdf http://www.ici.org/stats/etf/index.html http://www.regulations.gov http://www.sec.gov http://www.sec.gov/rules/concept/s72001.shtml http://www.sec.gov/rules/proposed.shtml Vol. 73, no. 53 Office of the Federal Register, National Archives and Records Administration 2008-03-18 continuing daily deposited born digital 298 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2008-03-18 P0b002ee1809c3b0c 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr18mr08 https://www.govinfo.gov/app/details/FR-2008-03-18 https://www.govinfo.gov/content/pkg/FR-2008-03-18/pdf/FR-2008-03-18.pdf https://www.govinfo.gov/content/pkg/FR-2008-03-18/xml/FR-2008-03-18.xml fdlp 14371 14658 DGPO 2010-09-23 2024-06-05 FR-2008-03-18 machine generated eng FR FR-2008-03-18 73 53