Exchange-traded Funds: Issues for 2013

02/21/2013 11:00 a.m. - 12:00 p.m. EST

Investment Management, Financial Institutions + Financial Services, Banking + Financial Services, and Broker-Dealer Compliance + Regulation

Kelley A. Howes

Kelley A. Howes


Rachel De Dora
(212) 336 4011

This teleconference is designed as a primer regarding exchange-traded funds.

Topics Will Include:

  • The distinctions between mutual funds and ETFs
  • How ETFs are created and how they trade
  • The regulatory infrastructure governing ETFs
  • The registration and listing process
  • Recent changes regarding the use of derivatives in ETFs
  • Information about other types of exchange-traded pools and notes


  • Jay G. Baris, Morrison & Foerster, LLP
  • Kelley A. Howes, Morrison & Foerster, LLP
  • Lauren C. Mullen, Assistant General Counsel, Equities Legal, Bank of America Merrill Lynch

New York CLE Credit
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This continuing legal education program has been approved in accordance with the requirements of the Continuing Legal Education Board for a maximum of 1.0 credit hours, of which 1.0 credit hours can be applied toward the Professional Practice requirement.

California CLE
Credit Morrison & Foerster LLP (Provider #2183) certifies that this activity has been approved for MCLE credit by the State of California in the amount of 1 hour.

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