In the Margins
Regulators have set their sights on the exchange-traded funds market, laying out tough questions regarding how the instruments trade in the wake of the Aug. 24 market turmoil. At an SEC Investor Advisory Committee meeting on Thursday, Commissioner Luis Aguilar suggested it may be time to "reexamine the entire ETF ecosystem." Read the original story from Barron's.
Most Read
Over the past several weeks, I have written articles exploring conflicts of interest that could challenge a variety of financial industry participants. Those articles explored potential ...
The Securities and Exchange Commission seems poised to grant exemptive relief to one of the earliest applicants seeking to offer an exchange-traded fund share class, just ...
The Investment Company Institute this week made public a set of recommendations to reform and modernize the Investment Company Act of 1940, which has not been ...
Securities brokerage firms are a critical part of the financial landscape, as they provide a vast array of products and services to the financial services industry, ...