Focused on Finance Podcast: Investment Management Series is Chapman's podcast dedicated to the legal, regulatory, and business developments shaping the investment management industry. The series delivers practical insights and analysis to help fund managers and advisers stay informed and ahead. Explore our latest episodes below.
The SEC has proposed significant changes to the federal proxy framework. Chapman attorneys James Borrasso, Kathryn Maass, and Matt Stuart unpack the proposals, highlight key considerations, and discuss what may lie ahead for investment companies and shareholders.
3 Sept 2026
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.
14 Jul 2026
SEC Request for Comment on Novel ETFs
Novel ETFs are pushing the boundaries of traditional fund structures. From private asset exposure and cryptocurrency strategies to leveraged, single-stock, and other innovative products, the ETF market continues to evolve at a rapid pace. The SEC is seeking industry input on whether existing regulatory frameworks are equipped to address these emerging products. Any resulting changes could influence how novel ETFs are reviewed, approved, and brought to market. As innovation accelerates, the industry is watching closely to see how regulation will adapt.
27 May 2026
Focused on Finance Podcast: Investment Management Series Trailer
Focused on Finance Podcast: Investment Management Series is Chapman's podcast dedicated to the legal, regulatory, and business developments shaping the investment management industry. The series delivers practical insights and analysis to help fund managers and advisers stay informed and ahead. Explore our latest episodes below.
27 May 2026
Understanding the SEC's Amended Names Rule
On this episode, Investment Management Group members Kathryn Maass and Matt Stuart join James Borrasso to discuss the most recent amendments to the SEC's Names Rule. The SEC's revamped Names Rule is shaking up the fund industry. Now, funds must ensure at least 80% of assets are invested in a manner consistent with the fund's name. Quarterly reviews, stricter disclosure, and expanded record-keeping are in; compliance deadlines are looming. Fund managers need to audit names, update policies, and stay alert for more SEC guidance. The message: get ready, or risk falling behind.
27 May 2026
ETF Share Class Relief
On this episode, Investment Management Group members James Borrasso and Matt Stuart join Kathryn Maass to discuss ETF share class relief. ETF share class relief is changing how funds structure and offer products. With Vanguard's patent expired, dozens of fund sponsors are racing to offer dual share classes—combining mutual funds and ETFs under one roof. The SEC's new exemptions promise investor choice, tax perks, and broader distribution, but bring fresh compliance hurdles. The industry is buzzing, and the next wave of fund innovation is just getting started.
27 May 2026
Retailization of Private Assets
On this episode, Investment Management Group members James Borrasso and Kathryn Maass join Matt Stuart to discuss the retailization of private assets. Private markets are breaking down barriers—retail investors now have increased access to assets once reserved for institutions. Regulatory changes and innovative fund structures are fueling this shift, but challenges around valuation, liquidity, and governance remain. This episode dives into how the industry is adapting and what it means for the future of investing.
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