A complimentary webinar presented by ETF BILD Project
Thursday, March 6, 2025
11:00 a.m. – Noon ET
ETF BILD is honored to have Nandini Sukumar, CEO, World Federation of Exchanges and Kirsten Wegner, CEO, Index Industry Association join us to discuss key global trends shaping investment and trading. You’ll hear insights on emerging
While the Philadelphia Eagles’ decisive 40-22 win over the Kansas City Chiefs in Super Bowl LIX is still grabbing headlines, the biggest winner of this year’s Big Game wasn’t a team — it was the National Football League (NFL) itself. Thanks to the recent adoption of a game-changing private equity rule, the NFL is set
From our SmartTrade Group at Thompson Hine!
President Trump issued the America First Investment Policy Memorandum on February 21, 2025 https://www.whitehouse.gov/presidential-actions/2025/02/america-first-investment-policy/ proclaiming that the United States “is committed to maintaining the strong, open investment environment that benefits our economy and our people, while enhancing our ability to protect the United States from new and evolving
The administration announced Thursday that it replaced the unit responsible for many of the SEC’s crypto registration suits with a new fraud-focused unit that will take a broader review of “cyber and emerging technologies.”
The Cyber and Emerging Technologies Unit will prioritize fraud cases that leverage novel tech including crypto, artificial intelligence, machine learning and
This week, the White House issued an executive order limiting the autonomy of independent agencies, including the SEC, by requiring them to submit draft regulations for presidential review. The stated purpose of the Ensuring Accountability for All Agencies executive order is to ensure Presidential supervision and control of the entire executive branch.
Below is a
On February 13, 2025, Rep. Andrew Clyde (R-Ga.) introduced a resolution in the U.S. House of Representatives aimed at repealing a recent regulation from the U.S. Securities and Exchange Commission (SEC). This rule mandates that mutual funds disclose portfolio details on a monthly basis, instead of the previous quarterly disclosures, marking a significant shift in
The new Trump administration combined with a Republican-controlled House and Senate could usher in the most significant regulatory changes to the ETF industry since 1990. That year, the Republican-led U.S. Securities and Exchange Commission (SEC) granted exemptive relief that gave birth to the ETF, one of the most consequential and innovative financial products in history.
Last week I took time to attend the N40 Digital Asset Summit which brought together industry leaders, innovators, and family offices to discuss the future of blockchain, digital assets, Web3, crypto and the role for AI in the space. The event was robust with fabulous panels and a wealth of information and insight. As US
Happy New Year to all and Welcome to Thompson Hine’s newest blog offered as a service to those in the investment management and broker-dealer communities.
What a better way to begin this blog then discussing the problems that arise for RIAs and BDs at this time of year. The first and most pressing for RIAs
The exam is finally over! If your advisory firm has been undergoing an SEC examination, you’ve probably been waiting a long time to utter those words. Well, time to get back to business, right? Not so fast. As our series on SEC examinations has detailed, this is a long process. And if your firm received