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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
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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 ...
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Avoid describing currency holdings as only “cash” if they include foreign notes when revealing your ETF portfolios
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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
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The adviser and parent lost a trial for breach of contract claims brought against them concerning certain other ETFs that Adviser managed .... The trial ...
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"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 ...
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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 ...
SEC Commissioner Hester Peirce
"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 ...

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