On 31 January 2025, the Texas Stock Exchange LLC (TXSE) filed a registration statement with the US Securities and Exchange Commission (SEC) to operate as a fully electronic, national securities exchange....more
On 8 March 2022, the Financial Industry Regulatory Authority, Inc. (FINRA) issued Notice to Members No. 22-08 (NtM 22-08) to “remind members of their sales practice obligations” for complex products and options and to...more
4/22/2022
/ Broker-Dealer ,
Closed-End Funds ,
Comment Period ,
Complex Financial Products ,
Cryptocurrency ,
Emerging Markets ,
Exchange-Traded Products ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Products ,
Investors ,
Mutual Funds
OVERVIEW -
- Industry Background
- ETF Mechanics
- New ETF Rule and Implications
- Periodically Disclosed ETFs
...more