Overview of Exchange-Traded Products

Overview

Understanding exchange-traded products (ETPs) is crucial to navigating the complexities of modern financial markets. With their unique structure and dual liquidity, ETPs present opportunities and challenges that require careful consideration. This course will examine ETPs and their risks, suitability, and best interest rules, as well as case studies highlighting the consequences of failing to follow those rules. 

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License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • Understand exchange-traded products (ETPs)
  • Identify the risks associated with various ETPs
  • Apply suitability and best interest rules
  • Recognize the consequences of compliance failures related to ETPs

Designed For:

Registered representatives 




Course Information

Adding additional credit may change exam requirements.