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SEC Relief, E-Delivery, and 24-Hour Trading
Three recent SEC actions could have significant implications for the investment management industry. New no-action relief gives ETFs greater flexibility when passive market movements cause industry concentration limits to be exceeded, while the SEC’s proposed Regulation E-Delivery would modernize how investors receive disclosure documents. The SEC is also exploring the future of 24-hour trading and what round-the-clock markets could mean for fund operations, market structure, and investor access. As regulatory frameworks evolve alongside modern markets, industry participants should be paying close attention.
