While Dodd Frank News Today

On October 26, 2022, the Securities and Exchange Commission, in a 3-2 vote, adopted a new rule, Exchange Act Rule 10D-1. Rule 10D-1 directs national securities exchanges adopt listing...

February 1, 2021 (The following are my compiled notes for a recent presentation at ETF Trends. I’ve included the slides for reference in line, however you can also watch a replay here. Thanks!) [[Note: I have talked to a lot of people in the past two weeks, through phones and Zooms and IBs and texts, and who knows what. I’m sorry if I discredited something or misrepresented some of your thinking here or adopted something of yours as my own. Please don’t sue me, my note taking is just no...