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.
Uncertainty reigns as issuers develop strategies.
Wall Street watchdog eying mutual fund transitions, volatility and derivatives products.
Australian wealth manager has petitioned SEC to move in on exclusive territory.
The battle for a spot product continues.
The proposals are widely disputed by investors, experts said during a panel Monday.
Proposed changes follow pushback from investors and big ETF issuers.
Kathleen Moriarty’s expertise and personality left a mark on the ETF industry.
The 10-year anniversary of the first bitcoin exchange-traded fund filing approaches.
The fund manager suggested Grayscale wasn’t doing enough to maximize value for investors.