Exchange-Traded (ETFs)

Risk alert details observations gleaned from exams of more than 50 fund complexes and nearly 100 investment advisers

The notorious GameStop raid that knocked world markets on their haunches was just what it appeared to have been: a bunch of self-described “degenerates” having ...

Effort is part of a broader look at exchange-traded products and potential risks

These ETPs, however, can pose risks even to sophisticated investors, and can potentially create system-wide risks by operating in unanticipated ways when markets experience volatility ...

We are overdue for a comprehensive and consistent approach to the review of complex exchange-traded products and the sales practices issues that they present.  We ...

Exchange-traded funds definitely seem to be an industry darling these days, and some advisers to private, mutual funds and even separately managed accounts are courting ...

Investors would normally revel in investment earnings that could produce capital gains but the SEC notes in a new enforcement action that their adviser erred ...

Prior to SoFi Wealth’s decision to move client assets into the new SoFi ETFs, and prior to the transfer itself, SoFi Wealth did not perform ...

The Commission will continue to scrutinize firms' P&Ps related to 'risky' exchange-traded products

The five settled cases are tied to unsuitable sales of volatility-linked exchange-traded products