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Investing in ETFs (ETFCE)


What You Will Learn

  • The history and key features of exchange-traded funds (ETFs)
    • History of exchange-traded funds
    • Key features of exchange-traded funds
    • Key differences between exchange-traded funds and open-end and closed-end funds
  • The various types of ETFs
    • Explanation of the various types of ETFs and also the creation and redemption process for ETFs¬†
  • The risks of investing in ETFs
    • General investment risk
    • Risks specific to ETFs
    • Specific risks associated with the use of leveraged, inverse and commodity based ETFs
    • Risks and implications of ETF liquidations
  • The regulatory environment
    • Gatekeeper responsibilities of the dealer member
    • Due diligence best practices for ETF client suitability
    • Sales practice obligations relating to leveraged and inverse ETFs
    • IIROC regulatory guidance on leveraged and inverse ETFs
  • ETF trading strategies and taxation
    • Investment strategies using ETFs
    • Trading ETFs
    • Tax efficiency, purchasing and selling, and other tax considerations of ETFs
Approximate Hours of Study**
Hours of Study 4 hours
Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 30
Passing Grade 60%*
Attempts Allowed Unlimited*
Enrolment Period 6 months

* IMPORTANT: There is no maximum to the number of quiz attempts permitted, but only the first passing grade (60% or over) will appear on official web transcript.

Continuing Education (CE) Credits

Click the links below or the buttons at the top of the page on the right side to access CE accreditation information. To search for specific course information, press Ctrl + F and then enter the course name to search the document for the information you are interested in.

National/Provincial (Excluding Quebec)
Download CE Chart (PDF, 163 kb)

Quebec (IQPF/CSF)
Download IQPF/CSF Chart (PDF, 182 kb)

Please note: While CSI makes every effort to ensure that the information is up-to-date, we are unfortunately unable to fully guarantee its accuracy. The information listed in the charts above may be subject to change.

For details on the organizations and other information on CE Credits listed in the above charts, please click here.