Webinar Recap: What’s Driving Growth in Active ETFs?
After years in the shadows, active ETFs are having their day in the sun. Recently, experts from three IAA member firms gathered to discuss what’s behind the proliferation and rapid adoption of active ETFs. Here’s what you might have missed.
November 03, 2023
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
The SEC has fined a San Francisco-based digital adviser for failing to adequately disclose the adviser’s conflicts of interest relating to investing client assets into new ETFs sponsored by the...
August 24, 2021
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020, charging that the agency rulemakings aimed at modernizing regulations often hurt investors, while the...
January 13, 2021
OFAC, SEC Issue Guidance Related to Executive Order on Investments in Chinese Military Companies
OFAC has issued several frequently asked questions (FAQs) related to an executive order, discussed in an earlier IAA Today report, that prohibits U.S. investors from investing in publicly traded securities of, securities that are derivative...
January 12, 2021
OFAC Issues FAQs, List Related to Exec Order on Chinese Military Companies
OFAC has issued several frequently asked questions (FAQs) related to an executive order, discussed in an earlier IAA Today report, that prohibits U.S. investors from investing in publicly traded securities...
January 05, 2021
FSOC Expresses Concerns with Fund Leverage and Redemptions
Not surprisingly, the 2020 annual report of the Financial Stability Oversight Council (FSOC) looks at the risk to the U.S. financial system through the lens of the unprecedented economic turmoil...
December 09, 2020
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