Exchange-Traded (ETFs)

Firms charged for deficiencies tied to transactions involving non-traditional ETFs and other non-traditional exchange-traded products

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

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 ...

Avoid describing currency holdings as only “cash” if they include foreign notes when revealing your ETF portfolios

SEC staff has observed the disclosure of some ETF portfolio holdings identify foreign currency positions only as “cash.” However, this descriptor is not an appropriate ...

Firm and President/CCO failed to implement P&Ps to ensure it understood the material features and risks of complex products

The adviser and parent lost a trial for breach of contract claims brought against them concerning certain other ETFs that Adviser managed .... The trial ...

"This conduct was inconsistent with the prospectuses for the LETFs, which stated that the products carried unique risks, were designed to be held for no ...

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 ...

"I also see value in the Committee taking up the single-stock ETFs issue now at this early stage of development. I am not looking for ...