Exchange-Traded (ETFs)

SEC signaled its intention to begin relief for funds with both ETF and mutual fund share classes

RCW has obtained a copy of a FINRA exam letter asking for the firm’s 'written supervisory procedures' related to 'clone funds'

"It is a signal that the Commission is willing to reexamine outdated constraints, embrace innovation, and consider relief that could benefit investors, fund sponsors, and ...

One of the areas sure to be scrutinized on exam is whether you address compliance issues 'promptly … when identified'

Steps were not taken to confirm that reps understood the features and risks unique to NT-ETPs before recommending them

This is the new Form N-PX that, under a new SEC final rule, mutual fund and ETFs advisers and certain institutional managers. Do not use ...

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