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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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.
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.
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.
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.
The Securities and Exchange Commission (“SEC”) recently announced that it voted to adopt a new rule and form amendments designed to “modernize” the regulation of exchange-traded funds (“ETFs”). The SEC also specified that it will issue an exemptive order that further harmonizes related relief for broker-dealers.
The Securities and Exchange Commission (“SEC”) recently eased regulatory constraints for exchange-traded funds (“ETFs”) that the industry long complained about, due to with the wait and the cost of getting SEC to sign off on new funds.
Market corrections have typically occurred at least once a decade. This is significant because although we have had a bull market for several years now, this trend will likely not last much longer.
The Securities and Exchange Commission has issued penalties against 13 investment advisory firms found to have violated securities laws by spreading false claims.
FINRA has accused World Equity Group, an Illinois based brokerage firm, of failing to supervise the sale of non-traditional Exchange Traded Funds (ETFs), failing to properly document due diligence performed on private placements.
First American Securities, Inc., an Ohio-based brokerage firm, was fined by FINRA for failing to implement, maintain and enforce a proper supervisory system.
Amidst swirling speculation regarding its connections with a client linked to the Prophecy Asset Management collapse, B. Riley Financial Inc. has conducted an internal
review, concluding no affiliations with the defunct hedge fund.
A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.
According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.