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On November 13, 2020, the SEC announced that it had settled actions against several investment advisory firms and firms dually-registered as broker-dealers and investment advisers. These actions relate to unsuitable sales of complex exchange-traded products (ETPs). All of the actions related to sales of volatility-linked ETPs that tracked expectations of short-term market volatility, measured through derivatives based on the CBOE Volatility Index.

SEC Continues Enforcement Actions Relating to Complex Exchange-Traded Products

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On November 13, 2020, the SEC announced that it had settled actions against several investment advisory firms and firms dually-registered as broker-dealers and investment advisers. These actions relate to unsuitable sales of complex exchange-traded products (ETPs). All of the actions related to sales of volatility-linked ETPs that tracked expectations of short-term market volatility, measured through derivatives based on the CBOE Volatility Index.Read our <a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt39c36ab35d642273/62731457deee7329767e75c0/201118-structured-thoughts.pdf" target="_blank">client alert</a>.

SEC Continues Enforcement Actions Relating to Complex Exchange-Traded Products