Firm Element Investments: ETFs

Investments: ETFs

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 1 

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Today, ETFs are one of the most rapidly growing areas in the investment fund industry worldwide. ETFs are expected to increasingly capture new investment flows from individual investors, financial advisors, and large institutional managers. The mutual fund scandals of 2003 and 2004 accelerated the trend for investors to shift money into tradable and cost efficient vehicles where they have more control over their investments, such as Closed-End Funds (CEFs), ETFs, exchange traded notes (ETNs), and exchange trade-commodities (ETCs). Some of the topics covered in this course are:
- A review of the history and nature of exchange traded funds
- Comparisons of ETF and related securities to more conventional investment securities
- FINRA’s stated position on ETF suitability
- A discussion of the concern with understanding the complexity of ETFs
- Recent litigation faced by a popular ETF sponsor


Topics Covered

This course covers the following topics:Lesson 1: Essential PrinciplesLesson 2: Reasonable Communications Lesson 3: Review and Approval Lesson 4: Electronic Communications



Subject Matter Expert

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End of Course Instructions

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Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.


You will be required to pass the final exam with a 70% in order to receive course credit.

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