ETF & Mutual Fund, Research

The SEC Seeks Comments on Regulation of Index Providers

Aniket Ullal, SVP Fund Data & Analytics
28 June 2022


The U.S. SEC is seeking public comment on whether the activities of specific information providers may cause them to meet the definition of “investment adviser” under the Investment Advisers Act of 1940. Currently, index providers are granted an exemption from registering as investment advisers under the “publisher’s exclusion.” The SEC’s request for comment is likely motivated by the growing size of index providers... It could represent a significant regulatory oversight change for index providers, who are important participants in the ETF ecosystem.

Want to learn more? Download the Report.


ETF Data & Analytics
The data and analytics you need to navigate the ETF universe.
ETF & Mutual Fund Research
A forward focused, holistic approach to fund insights.
Public Policy Research
Identify opportunity and risks driven by public policy.