SEC

The first-of-its-kind product is cleared and features the same creation-and-redemption process common with traditional offerings.

While the agency has publicly detailed key focus areas, some planners still don't know how it evaluates firms.

Judging from what promoters of insurance products can say in their marketing materials, not so well, writes Ethan Schwartz.

IFS has notified regulators about the alleged illegal trades, which sources say cost the firm more than $10 million.

The regulator postponed until October a ruling on whether listing rules can change to allow two cryptocurrency funds to start trading.

Critics reject the notion that disclosure alone is sufficient for reigning in conflicts — but the charges against Commonwealth have put BDs on notice.

Reports of the death of fiduciary differentiation have been greatly exaggerated, contends fiduciary advocate Knut Rostad.

Prosecutors said Robert Shapiro used investor money for his $6.7 million home and $3.1 million for chartering planes and for personal travel.

The asset manager said it’s seeking a head of ETF capital markets in a post on LinkedIn.

The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.