SEC's Stein Calls For ETF Regulation 'Roadmap'

Law360, Los Angeles (February 19, 2016, 6:22 PM EST) -- U.S. Securities and Exchange Commissioner Kara Stein told a securities industry conference Friday that a short, steep crash in exchange-traded funds last year signaled a need for the regulator to lay out a "roadmap" for regulating the investments and how they're traded in the market.

ETFs, which are essentially baskets of securities that continually trade on exchanges, have become hugely popular alternatives to mutual funds in recent years, Stein said in her speech to an audience of traders, investors and securities lawyers at SEC Speaks on Friday.

Stein called for several changes that could impact the way ETFs are monitored, marketed...

Stay ahead of the curve

In the legal profession, information is the key to success. You have to know what’s happening with clients, competitors, practice areas, and industries. Law360 provides the intelligence you need to remain an expert and beat the competition.

  • Access to case data within articles (numbers, filings, courts, nature of suit, and more.)
  • Access to attached documents such as briefs, petitions, complaints, decisions, motions, etc.
  • Create custom alerts for specific article and case topics and so much more!


Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!