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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.


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Browsing Hashtag: #ETFs

Investments - Unsuitable

Unsuitable Sales of Exchange Traded Products

May 8, 2020

Investments - Strategies

It’s Best to Avoid Thinly-Traded Stocks

October 21, 2019

Investments - Private

Be Careful What You Smoke

October 9, 2019

Wall Street News

Deutsche Closing, Goldman Simplifying, Citi Combining, UBS Losing … And Other Headlines and Headliners

June 17, 2019

Wall Street News

Transformative People in Business, FINRA Settlements, Goldman Cuts … And Other Headlines and Headliners

April 16, 2019

Wall Street News

'Fat Finger' Trades, Goldman's Marcus Exec to Leave, Barclays Traders Get Jail Time … And Other Headlines and Headliners

April 2, 2019

Wall Street News

U.S. Exchanges to Sue SEC, ETF Failure Rate is High ... And Other Headlines and Headliners

February 18, 2019

Compliance Concepts

OCIE 2019 PRIORITIES - Retail Investors

December 25, 2018

Wall Street News

Fines, Sanctions, Headlines & Headliners (7/9)

July 9, 2018

Wall Street News

Maybe Now You'll Understand Why the SEC Said ‘No’ to Bitcoin ETFs

June 15, 2017


Goldman Sachs’ $2.8Bn Bond Deal – Is the Outrage Justified?

May 31, 2017

Wall Street News

Don’t See the SEC Approving These Volatile ETFs

May 22, 2017

Wall Street News

Where’s the Beef? Market Volume and Volatility

April 5, 2017

Regulatory Sanctions

Morgan Stanley Settles Charges Related to ETF Investments

February 14, 2017


Merrill Edge Launches Robo-Advisor with a Twist

February 9, 2017

Wall Street News

Keep a Lookout for 'Revolutionary’ ETFs from Precidian Investments

January 24, 2017


BNY Mellon Hires Nasdaq Executive to Head ETF Business

January 15, 2017

Wall Street News

Brokers & Asset Managers: 10 Surprises to Watch for in 2017

January 9, 2017

Wall Street News

Exchange-Traded ‘Zombies’ Stalk the Markets

December 12, 2016


Steve Cohen Invests $2Mn into Micro-Investing Startup

November 22, 2016

Rules & Regulations

ETFs: Popularity Prompts Concerns

November 4, 2016


Deutsche Bank Other Problem: Its ETF Business

October 11, 2016


Charles Schwab - Lloyds Banking - Perella Weinberg - Thomson Reuters

October 7, 2016