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Recently, a number of industry observers have raised concerns about the stability, solvency and risk management controls of ETFs. These concerns largely stem from a misunderstanding of the structures and safeguards that span a rapidly growing industry. Learn more about these issues and common misconceptions of ETFs.

Advisor Resources

  • Examine some of the events that have led to misconceptions about the stability, solvency, and risk management processes of exchange traded funds. Learn how investors will be better served by accurate understanding of how they are structured, regulated and traded.

    article : 7 pages
  • Explore what securities lending is, why some exchange traded funds engage in securities lending and how this process may directly benefit shareholders.

    brochure : 8 pages | Client Ready FINRA letter

Supplemental Resources