Tag: SEC

Complex exchange traded products were one of the key agenda items for the Commission last week. New products were recently approved. Nevertheless, three Commissioners expressed concern about the complexity of the products, the adequacy of the disclosure and the use …

This Week In Securities Litigation (Week of October 11, 2021) Read More »

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Earlier this month the Commission approved two new complex financial products. Despite the approval, the new products sparked comments from Chair Gensler (here) and, in a separate but joint statement, Commissioners Allison Herren Lee and Caroline A. Crenshaw (here). While …

Complex Products: Are They Investments? Read More »

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