This summary discusses only ETFs that are registered as open-end investment companies or unit investment trusts under the Investment Company Act of 1940 (the “1940 Act”). The Laws That Govern the Securities Industry.Researching the Federal Securities Laws Through the SEC Website.Structured Notes with Principal Protection.Smart Beta, Quant Funds and other Non- Traditional Index Funds.Mutual Funds and Exchange-Traded Funds (ETFs).Publicly Traded Business Development Companies (BDCs).Stock Purchases and Sales: Long and Short.Pay Off Credit Cards or Other High Interest Debt.Public Service Campaign (new) – “Investomania”.Required Minimum Distribution Calculator.Investment Professional Background Check.
Working with an Investment Professional.
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