Four asset management firms requested exemptive relief to operate exchange-traded funds without providing full daily transparency of their portfolios as required by the Investment Company Act of 1940.

New York State Department of Financial Services Superintendent Linda A. Lacewell proposed regulation designed to streamline the disclosure processes of confidential supervisory information to legal counsel and independent auditors.

In an annual report to Congress, the SEC's Office of the Whistleblower reviewed FY 2019 program activities.

CFTC Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling described the CFTC’s role in overseeing CPOs and CTAs in light of the growing size and agility of the firms in the asset management industry.