SEC ETF Overview

The Securities and Exchange Commission (SEC) is an agency of the U.S. federal government. It enforces the federal securities laws as well as regulates the securities industry (e.g., stock and option exchanges) in the U.S., including the creation, responsibilities and limitations of exchange-traded funds.

Features and News

Impact Of SEC’s 13F Change Murky

The biggest beneficiary of the SEC's proposal may not be activist investors, but the agency's overworked staff.

Daily ETF Watch

Natixis Debuts Active ETFs With Disclosure Twist

The ETFs rely on the model developed by Natixis and the NYSE for "nontransparent" active management. 

Features and News

Legal Questions Circle SEC’s 13F Plan

The SEC's recent 13F proposal is controversial. But it's not clear it has the legal authority to carry it out.

Podcasts

Best Of ETF Prime Podcast: Summer 2020

Revisiting some of Nate Geraci’s favorite ETF conversations over the past few months.

ETF.com Analysis

Yes, Transparency Is Still A Good Thing

The SEC proposes that less information is more. It isn't.

Podcasts

ETF Prime Podcast: ETFs & The SEC

Potential enforcement against ‘USO,’ navigating the financial markets and fielding rapid-fire ETF questions. 

Features and News

'USO' Facing Regulatory Action

The SEC has stated intent to file fraud charges against the world's biggest oil ETF.

Daily ETF Watch

More New Active ETFs Ahead

BlackRock looking to join the new active party using ActiveShares model.

ETF Strategist Corner

Label This 'Controversial'

Changing the nomenclature in the ETF industry is a good idea.