Exchange-Traded (ETFs)

If you have difficulty sorting an open-end exchange-traded fund from its closed-end cousin, imagine what your access persons must think.The SEC has determined that ETFs ...

The SEC is encouraging investors to seek out "the advice of an investment professional" if they're interested in leveraged or inverse ETFs. The unusual warning ...

The Securities and Exchange Commission is proposing a new rule under the Investment Company Act of 1940 that would exempt exchange-traded funds (‘‘ETFs’’) from certain ...

Investment Advisers Act of 1940 – Rule 204A-1, 206(4)-7 and Section 204A, 203(e)(6) Investment Company Act of 1940 – Rule 17j-1 National Compliance Service November ...