Exchange-Traded (ETFs)

Compliance problems including trading with an affiliate without a required exemptive order and failing to have a process for any revisions to, or deviations from, ...

Examples of potential novel ETFs include crypto assets, commodity focused instruments, single-stock strategies, heightened leverage, blockchain-enabled opportunities, and private assets

The SEC has been asked over the years to approve ETFs in areas that may be outside the current regulatory structure, such as crypto assets; ...

"Novel products raise novel questions, and I appreciate the willingness fund sponsors have shown in delaying the effectiveness of a number of novel ETFs, including ...

This is the SEC's proposed rule, released in February 2026, which would turn back the Commission's 2024 amendments that would have sped up the required ...

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'