Exchange-Traded (ETFs)

You'll want to know about 'nuances of the Investment Company Act' that you must become familiar with, including ETF limits on illiquid assets

How to start up your own ETF, warnings and optimism on stablecoins, new PF risks tied to retail investors and much more

Exchange traded funds are proving more popular than syrup on pancakes. And they may be even hotter than hot cakes

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"It is a signal that the Commission is willing to reexamine outdated constraints, embrace innovation, and consider relief that could benefit investors, fund sponsors, and ...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