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Why Cohen & Company Our Culture Total Rewards & Benefits Early Career Opportunities Experienced Opportunities Join Our Talent Community
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Exchange-Traded Fund Insights

May 13, 2019 Brett Eichenberger

SEC Clears Path for Precidian to Operate ActiveShares ETFs, Signals Big Changes for All Actively Managed Funds

Actively managed exchange traded funds (ETFs) have historically been required to provide portfolio transparency on a daily basis — showing all of their cards, so to speak, and leaving their investment strategies vulnerable for the taking. While many ETFs have filed exemptive relief with the...

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February 03, 2017

SEC Examination Priorities for 2017

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) recently released its 2017 exam priorities. While the priorities continue to focus on protecting retail investors, especially those investing for their retirement, and assessing broad...

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