CLE Courses

Current Legal and Compliance Issues Affecting ETF APs and Market Markers

Wednesday, June 26, 2019

Please join us for breakfast and a one-hour program to discuss issues affecting ETF authorized participants and ETF market makers.


  • Overview of New Non-Transparent Actively -Managed ETFs
  • Litigation Developments
  • So-called “Heartbeat” Transactions
  • Update on ETF Exemptive Rule
  • Issues Associated with Marijuana ETFs

For more information on this event, please contact Sharon James at 212-309-6761.

CLE credit: CLE credit is currently pending in CA, IL, NY, PA, TX, VA via reciprocity in FL and NJ.