Exchange-Traded (ETFs)

Sweeping reforms aimed at enhancing transparency and modernizing reporting requirements for mutual funds, exchange-traded funds and other registered companies have been adopted by the SEC. The ...

Despite taking the proactive step of instituting policies tied to the purchase of non-traditional ETFs in the wake of a 2009 FINRA regulatory notice warning ...

Look for the SEC to finalize its recommended rulemaking on liquidity risk management and the use of derivatives “this year.” In a May 20 address ...

We would not recommend enforcement action to the Commission under section 12(d)(2) of the Company Act against the Fund if the Fund, or the company ...

FINRA promised and now it has delivered. In its 2016 regulatory and examination priorities letter, the SRO stated that it would review broker-dealers’ role as ...

The role of exchange-traded funds, private fund advisers, disclosure and that of boards of directors in fund oversight are current hot button areas for the ...

We also have benefited from key data collection component of the Dodd-Frank Act was Form PF, which is filed confidentially by private fund advisers that ...

Indeed, even plain-vanilla, equity index ETFs may present risks that are not always anticipated or fully understood, as evidenced by the events of August 24, ...

Rapid growth via acquisition and aggressive rep recruitment has come at a price for LPL Financial. The nation’s largest independent broker-dealer has been fined $10 ...

The announcement of the never-been-examined initiative isn't the only new development out of OCIE (IA Watch, Feb. 24, 2014). This month, examiners will begin using ...