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White, Stein address ETF oversight, universal proxy access

Joe Mont | February 22, 2016

Each year, anyone who is anyone at the Securities and Exchange Commission, reflects upon the year that was—and the year ahead—at the Practising Law Institute’s SEC Speaks Conference. The event was held over the weekend in Washington D.C.

In her keynote address, SEC Chair Mary Jo White said she is looking to 2016 as the year her agency may finally complete rulemaking required under the Dodd-Frank Act. Of “particular focus and priority” will be remaining security-based swap rules. On tap are finalizing “substantive requirements for security‑based swap dealers, notably rules governing business conduct and requirements for capital, margin, and asset segregation.”

Another of White’s stated priorities is addressing the “increasingly complex portfolios and operations” of mutual funds and exchange-traded funds. In May, the SEC proposed enhanced reporting for investment...

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