In the Margins
The New York Stock Exchange has proposed flagging “aberrant” trades in exchange-traded products. “The Exchange believes that the derivatively priced nature of ETPs necessitates the use of a different, and generally broader, set of circumstances to determine that trades are ‘aberrant,’” the Big Board said in a proposal to the Securities and Exchange Commission. Read the original story from The Wall Street Journal.
Most Read
Guinness Atkinson Funds made history last year when it completed the industry’s first conversions from open-end mutual fund to exchange-traded fund. Since then, a number of ...
In late 2020, the Securities Exchange adopted new rule 18f-4 under the Investment Company Act of 1940, which provides for an updated and comprehensive regulatory approach ...
In a speech on Monday, William Birdthistle, the new director of the Securities and Exchange Commission's Division of Investment Management, pondered whether mutual funds are honoring ...
The independent directors of Vanguard Funds were named last week as defendants in a class-action lawsuit brought by a group of retail investors. The plaintiffs' claims ...