Exchange-Traded (ETFs)

Exchange-traded funds definitely seem to be an industry darling these days, and some advisers to private, mutual funds and even separately managed accounts are courting ...

Investors would normally revel in investment earnings that could produce capital gains but the SEC notes in a new enforcement action that their adviser erred ...

Prior to SoFi Wealth’s decision to move client assets into the new SoFi ETFs, and prior to the transfer itself, SoFi Wealth did not perform ...

The Commission will continue to scrutinize firms' P&Ps related to 'risky' exchange-traded products

The five settled cases are tied to unsuitable sales of volatility-linked exchange-traded products

The importance of ensuring recommendations made to retail clients comply with legal obligations is highlighted

OCIE vows to "review for the inappropriate use of complex investment products and evaluate the robustness and effectiveness of related supervisory policies and procedures.  OCIE ...

Because these APFS registered representatives failed reasonably to investigate VXX, they did not understand how VXX works, the risks inherent in investing in VXX, or ...

Benjamin Edwards failed to implement advisory policies and procedures reasonably designed to prevent unsuitable recommendations that their retail advisory clients buy and hold the Complex ...

Without the benefit of the training required by the firm’s policies and procedures, certain of these Summit Financial IARs had a flawed understanding of VXX’s ...