3f. IA/IC – Exchange-Traded Products (Intermediate)

This session will address the changing regulatory environment for those advising exchange-traded products. Speakers will explore the impact of existing regulation and exemptive relief.

Learning Objectives:

  • Understand the timing, impact and compliance differences between fully transparent ETF exemptive relief orders and Rule 6c-11 (the ETF Rule)
  • Discuss exemptive relief orders approved for different types of semi-transparent ETFs and the impact on compliance programs
  • Address the changes to exchange listing standards for ETFs
  • Discuss best practices in the oversight of ETF specific third parties such as lead market makers, authorized participants, index providers and more


Sponsored by:

Intermediate                        Program Level: Date: October 19, 2020 Time: 2:00 pm - 3:15 pm James Butz Russell Minetti

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