Disclosure

"Given our clear authority, rolling back the proposal is a missed opportunity. It remains my great hope that a future Commission will rise to the ...

Both of these agreements created conflicts of interest, because they created an incentive for 3D/L to use funds managed by the ETF Manager in 3D/L’s ...

'We are here to protect investors, and if they care, then we care,' Grewal says in Ohio State Law Journal speech

This sounds counter-intuitive because the unvarnished truth could steer clients away from the product, but “whatever else you say, tell them all of the bad ...

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

'We want this to be something where the industry can... come up with solutions...'

'Boundless curiosity is wonderful in a small child,' Peirce says but ' a less attractive trait in regulatory agencies'

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 ...

In 1992, Bodner pleaded guilty in federal court to misdemeanor fraud in connection with his use of an impersonator to take his Series 7 exam ...

Heed these lessons: If a client questions you on returns, do the math. Be straight with them. And backup your data