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ETF Exams May Pave Way For SEC Enforcement Actions, Law360

January 11, 2016

In a letter detailing its priorities for 2016, the SEC’s Office of Compliance Inspections and Examinations placed its new probe of ETFs near the top of its laundry list of things to do.

And while the five-page note is brief in describing the staff's various areas of focus, the breadth of what the SEC plans to inspect when it comes to exchange-traded products leaves little doubt that sponsors like BlackRock Inc. and ProShares will find themselves busy explaining their business to the government this year.

Partner John McGuire is quoted.

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