Published on Apr 7th, 2021 |

Vigilant has provided content on Rule 6c-11 for Advisors. Managing Director, Perpetua Seidenberg, CPA, MBA, IACCP provided insights and comments towards the Rule.

Below will be 6 Key Takeaways and Expectations of what you will see covered from Perpetua Seidenberg:

  1. Advisors are no longer required to rely on or obtain exemptive relief for ETFs if they meet certain conditions.
  2. She goes into detail about what ETFs are excluded from Rule 6c-11.
  3. What the conditions are that the ETFs must meet in order to rely on Rule 6c-11.
  4. What the rule requires to be disclosed publicly and prominently on the ETFs website.
  5. The important requirements around custom basket policies and procedures that advisors and ETFs will need to adopt.
  6. Considerations for ETF Custom Basket Policies and procedures

Below is a video of Managing Director Perpetua Seidenberg, CPA,  MBA,  IACCP commenting on the ETF Rule 6c-11.

For the resource referenced in the video as a download for your personal use, click the link below:

ETF Rule 6c-11 Resource