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Securities and Exchange Commission

The mission of the SEC is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC strives to promote a market environment that is worthy of the public's trust.

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Industry Updates

ETF Wrap: UN SDGs get their day in the sun

Jamie Gordon

20 Jan 2023
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Industry Updates 30 Nov 2022

Millennial YouTuber 'Meet Kevin’ launches ETF

Industry Updates 30 Nov 2022

Millennial YouTuber 'Meet Kevin’ launches ETF

Financial advice channel host’s ‘Pricing Power’ fund invests in Tesla and Apple

Read More Zoya Mirza
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Industry Updates 24 Nov 2022

Goldman Sachs AM fined $4m by SEC over three-year lapse in ESG standards

Industry Updates 24 Nov 2022

Goldman Sachs AM fined $4m by SEC over three-year lapse in ESG standards

GSAM did not confirm or deny the regulator’s findings

Read More Jamie Gordon
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Industry Updates 23 Nov 2022

PIMCO ETF hits NYSE trading floor

Industry Updates 23 Nov 2022

PIMCO ETF hits NYSE trading floor

Human/digital hybrid used in bond ETF aims to trim volatility

Read More Heather Bell
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Industry Updates 24 Oct 2022

IOSCO consults on asset manager and index provider ‘conflicts of interest’

Industry Updates 24 Oct 2022

IOSCO consults on asset manager and index provider ‘conflicts of interest’

Regulator taking a closer look at the governance structures of index providers

Read More Theo Andrew

Industry Updates 05 Sep 2022

SEC consults on proposed rule change for spot ARK 21Shares Bitcoin ETF

Stephan Roth

Industry Updates 21 Jun 2022

SEC examines role of index providers in investment decisions

Theo Andrew

New Listing 10 May 2022

First crypto ETFs to launch in Australia on Thursday

Sumit Roy

Industry Updates 09 Feb 2022

ECB investigates DWS over corporate governance issues – report

Theo Andrew

Industry Updates 15 Nov 2021

SEC denies VanEck’s physical bitcoin ETF

Dan Mika
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Related Features

Analysis

Non-transparent structure not solution for active ETFs in Europe

Tom Eckett

15 Dec 2022
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Analysis 10 Oct 2022

Stablecoins: The regulatory landscape

Analysis 10 Oct 2022

Stablecoins: The regulatory landscape

A three-tiered problem or a triple entente? Part two of a three-part series.

Read More Stephan Roth
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Opinion 28 Jun 2022

SEC should align with EU's BMR when regulating index providers

Opinion 28 Jun 2022

SEC should align with EU's BMR when regulating index providers

Alignment is imperative with large providers operating in both the US and Europe

Read More Tom Eckett
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Analysis 27 Jun 2022

Will Europe ever see non-transparent ETFs?

Analysis 27 Jun 2022

Will Europe ever see non-transparent ETFs?

Non-transparent ETFs have seen rapid growth in the US since being introduced in 2019, but will they come to Europe?

Read More Theo Andrew
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Analysis 21 Jun 2022

IOSCO’s consultation on good practices will benefit ETF market

Analysis 21 Jun 2022

IOSCO’s consultation on good practices will benefit ETF market

Europe needs to remove dependence on iNAVs

Read More Keshava Shastry

Analysis 15 Mar 2022

Wheat ETFs see wild price dislocations following Russia's Ukraine invasion

Tom Eckett

Opinion 18 Jan 2022

Regulators must act on exchanges' market data monopoly

Tom Eckett

Opinion 26 Oct 2021

SEC is wrong to only green light bitcoin futures ETFs

Tom Eckett

Opinion 25 Oct 2021

Physical bitcoin ETF prospects accelerate

Drew Voros
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