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Book Chapter
Structure of an ETF
2016
Overview
This chapter explores the structure of exchange‐traded products (ETPs), including exchange‐traded notes (ETNs) and, especially, exchange‐traded funds (ETFs). ETFs are regulated by multiple divisions of the Securities and Exchange Commission (SEC); and the 1940 Act, 1934 Act, and 1933 Act (all as defined below) play a role in their operation. Because ETFs operate in a manner not contemplated by these acts, ETFs need exemptive relief to operate. They also must comply with exchange listing rules and unique tax treatment; international and fixed‐income ETFs have additional requirements. Finally, the chapter briefly discusses credit limits at broker‐dealers and market closures.
Publisher
John Wiley & Sons, Inc
Subject
ISBN
1119193907, 9781119193906
