Kathleen Moriarty – The ETF Approval Process (EP.46)
August 12, 2019

Kathleen Moriarty, Partner at Chapman and Cutler, and the lawyer who spearheaded countless ETF innovations joins Phil to talk about the legal and regulatory process. Kathleen shares stories from her career and jumps into several of today’s most important legal and regulatory issues. The discussion includes:

  • Launching SPY and early expectations of the fund
  • Waiting seven years for leveraged ETF approvals
  • The forthcoming ETF Rule
  • Bitcoin ETF – where and why it is being held up, and expectations going forward
  • The GLD approval, and similarities to the Bitcoin process
  • Non-transparent ETF approval and ramifications to the industry
  • How Kathleen would improve the regulatory & market structure
  • What it is like to change law firms

Sign Up for Our Newsletter

Newsletter
Newsletter Preference *

Ready to Talk?

ETFs to build better portfolios

info@exponentialetfs.com

+1 (313) 281-8000

1001 Woodward Ave, Suite 500
Detroit, MI 48226

Pin It on Pinterest

Share This

Exponential ETFs products are also available on Raymond James, LPL & Pershing platforms.

Exponential ETFs is not affiliated with these financial service firms. Their listing should not be viewed as a recommendation or endorsement. By clicking the buttons above you are leaving the Exponential ETFs website and going to a 3rd party site. Exponential ETFs is not responsible for content on 3rd party sites.