Exchange-Traded (ETFs)

One of the areas sure to be scrutinized on exam is whether you address compliance issues 'promptly … when identified'

Steps were not taken to confirm that reps understood the features and risks unique to NT-ETPs before recommending them

This is the new Form N-PX that, under a new SEC final rule, mutual fund and ETFs advisers and certain institutional managers. Do not use ...

Firms charged for deficiencies tied to transactions involving non-traditional ETFs and other non-traditional exchange-traded products

The influencer's and the index provider's fee structure and the lack of disclosure surrounding the engagement proved problematic

The Influencer’s planned involvement and the details of the anticipated licensing arrangement were not disclosed to the independent trustees of the VanEck ETF Trust for ...

Avoid describing currency holdings as only “cash” if they include foreign notes when revealing your ETF portfolios

SEC staff has observed the disclosure of some ETF portfolio holdings identify foreign currency positions only as “cash.” However, this descriptor is not an appropriate ...

Firm and President/CCO failed to implement P&Ps to ensure it understood the material features and risks of complex products

The adviser and parent lost a trial for breach of contract claims brought against them concerning certain other ETFs that Adviser managed .... The trial ...