Adviser Charged in Connection with Leveraged ETFs
The SEC has charged an adviser and part-owner with breach of duty of care in connection with use of leveraged ETFs.
May 19, 2023
SEC Considers Potential Rulemaking on Complex Exchange-Traded Products
SEC staff is reviewing the potential risks of complex exchange-traded products and will present rulemaking proposals to address those risks.
October 06, 2021
Adviser Pays $300K to Settle Proprietary ETF Disclosure Charges
Adviser Pays $300K to Settle Proprietary ETF Disclosure Charges August 24, 2021 The SEC has fined a San Francisco-based digital adviser for failing to adequately disclose the adviser’s conflicts of...
August 24, 2021
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021 ...
January 13, 2021
OFAC, SEC Issue Guidance Related to Executive Order on Investments in Chinese Military Companies
OFAC, SEC Issue Guidance Related to Executive Order on Investments in Chinese Military Companies Updated January 12, 2021 OFAC has issued several frequently asked questions (FAQs) related to an executive order, discussed...
January 12, 2021
OFAC Issues FAQs, List Related to Exec Order on Chinese Military Companies
OFAC Issues FAQs, List Related to Exec Order on Chinese Military Companies January 5, 2021 OFAC has issued several frequently asked questions (FAQs) related to an executive order, discussed...
January 05, 2021
FSOC Expresses Concerns with Fund Leverage and Redemptions
FSOC Expresses Concerns with Fund Leverage and Redemptions Calls on SEC to Study Potential Emerging Risks from Investment Funds December 9, 2020 Not surprisingly, the 2020 annual report of...
December 09, 2020
SEC Investment Management Director Blass Discusses Regulating for the Future
SEC Investment Management Director Blass Discusses Regulating for the Future October 5, 2020 Using money market funds and exchange-traded funds (ETFs) as case studies, the SEC’s Division of Investment...
October 05, 2020
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