Exchange-Traded (ETFs)

SEC IM issues tweaks ETF use of a risk legend exemptive relief

The "staff, pursuant to the exemptive orders, requests that, in digital advertisements, non-transparent ETFs use either the text and formatting of the Risk Legend as set forth in their exemptive order or the following text and formatting"

-

To read this article, you need to sign in.

Sign In

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.

Register Now