Tagged with "ETFs"

SEC Issues Warning Related to Single-Stock Levered and Inverse ETFs

Posted on July 27th, 2022 at 2:19 PM
SEC Issues Warning Related to Single-Stock Levered and Inverse ETFs

The Securities and Exchange Commission (SEC) has released a statement addressing single-stock levered and inverse exchange-traded funds (ETFs), which soon will enter the market.

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SEC Issues Investor Warning Related to Single-Stock ETFs

Posted on July 26th, 2022 at 3:32 PM
SEC Issues Investor Warning Related to Single-Stock ETFs

While the Securities and Exchange Commission (SEC) has regularly updated its regulatory framework to address the introduction of complex exchange-traded products (ETPs), the SEC now is warning investors about single-stock exchange-traded funds (ETFs), which are set to soon hit the market.

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FINRA Expected to Address Retail Investor Exposure to Complex ETFs

Posted on May 10th, 2022 at 1:21 PM
FINRA Expected to Address Retail Investor Exposure to Complex ETFs

The Financial Industry Regulatory Authority (FINRA) recently requested comments on whether stricter measures ought to be implemented to curb retail investor access to complex ETFs.

 
 

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Massachusetts Regulators Charge Broker-Dealer Over Unsuitable Sales of Leveraged ETFs

Posted on March 8th, 2022 at 11:31 AM
Massachusetts Regulators Charge Broker-Dealer Over Unsuitable Sales of Leveraged ETFs

Massachusetts securities regulators have charged a broker-dealer with allegedly failing to adequately monitor advisors who sold unsuitable leveraged exchange-traded funds (ETFs) through another firm, which caused investors to lose $2.3 million. 

 
 

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LATEST NEWS AND ARTICLES

July 11, 2025
FINRA Advances Proposal to Allow Limited Use of Performance Projections

The Financial Industry Regulatory Authority (“FINRA”) is moving forward with a proposal that would give broker-dealers limited ability to market performance projections and targeted returns under specific conditions.

July 10, 2025
SEC Permanently Bars Brite Advisors USA Over Custody Rule Violations and Undisclosed Conflicts

The SEC has permanently barred Brite Advisors USA from operating as an investment adviser, citing serious custody rule violations and undisclosed conflicts of interest tied to its offshore affiliate, as reported by Financial Advisor News.

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