Master Class: ETNs

11/20/2014 08:30 a.m. - 09:30 a.m.

Banking + Financial Services, Capital Markets, and Financial Institutions + Financial Services

Morrison & Foerster LLP
250 W 55th Street
21st Floor
New York, NY 10019

Seminar

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Harrison Lawrence
hlawrence@mofo.com
(212) 336-4004

We invite you to join us for one of our focused master classes led by Of Counsel Bradley Berman, which will delve into timely issues for structured products market participants. Topics of discussion will include:

  • A definition of exchange traded notes;
  • NYSE Arca listing requirements – summarizing the differing requirements for ETNs linked to equity indices, commodity indices and other permissible underliers;
  • Regulatory issues – the iPath no-action letter and relief from Regulation M for dealer market making activities and issuer redemptions;
  • ETNs in the news – some exchange traded notes have drawn negative attention in the press;
  • Recent SEC and FINRA guidance on ETNs – what has FINRA and the SEC said lately about ETNs, and a summary of the SEC’s ETN sweep letter; and
  • Drafting issues.

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