Exchange-Traded (ETFs)

Indeed, even plain-vanilla, equity index ETFs may present risks that are not always anticipated or fully understood, as evidenced by the events of August 24, ...

Rapid growth via acquisition and aggressive rep recruitment has come at a price for LPL Financial. The nation’s largest independent broker-dealer has been fined $10 ...

The announcement of the never-been-examined initiative isn't the only new development out of OCIE (IA Watch, Feb. 24, 2014). This month, examiners will begin using ...

If you have difficulty sorting an open-end exchange-traded fund from its closed-end cousin, imagine what your access persons must think.The SEC has determined that ETFs ...

The SEC is encouraging investors to seek out "the advice of an investment professional" if they're interested in leveraged or inverse ETFs. The unusual warning ...

The Securities and Exchange Commission is proposing a new rule under the Investment Company Act of 1940 that would exempt exchange-traded funds (‘‘ETFs’’) from certain ...

Investment Advisers Act of 1940 – Rule 204A-1, 206(4)-7 and Section 204A, 203(e)(6) Investment Company Act of 1940 – Rule 17j-1 National Compliance Service November ...