Rydex Cq #3. For the Case Study

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Facts:

- Have been around 10 years

- Often mirror mutual funds

- are less regulated that mutual funds

- explosion in ETF approval requests

- SEC has other priorities

Assumptions:

-ETFs that mirror Mutual fund performance should probably be regulated like mutual funds

- Investment dealers are looking to get around mutual fund restrictions

-ETFs do improve liquidity in mutual funds, but funds are made up of liquid stocks while ETFs are fiat securities

Interaction Strategies:

Alternative strategic action to meet your objective(s) [5]

[Figure 1-4 p. 23 Blue sheet

Info, Societal, Political, Legal -- w / # from Blue sheet]

Alt market + Nonmkt [6 + 7]

analysis Mkt reactions

Select strategic action [8]

Is it legal and ethical?

Selected? (Yes / No / Wait)

Implementation of strategic action for " each" strategy [9]

Provide details of what you will do to achieve your objective(s)

Id strategy by its # [Identify facts, figures, #s, outside sources}

Information:

- Find out what other countries are doing about ETFs (UK, Canada, etc.).

- Find expert testimony to explain ETFs better to the SEC and to Congress

- Find out what the SEC is most worried about

Societal Strategies:

-engage in a PR campaign in support of looser restrictions on ETFs

-Find consumer groups to get their support for the initiative

-Work on a media strategy

Political Strategies:

- Gain Congressional support

- Work with SEC to assuage their concerns

- Intensify financial industry lobbying efforts

- build grassroots support among investors who want more choice

Legal Strategies:

- None -- deal with at the political level.

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Yes

Yes

Yes

Probably ethical

Yes

Yes

Probably not ethical to buy Congressmen

Yes

Ethical to an extent

Yes

Yes

Research team to talk to our contacts in these countries

Conduct research at industry level

Talk to SEC directly

Build a narrative, promote that narrative online and through the media

Talk to consumer groups directly

PR department needs to work with head office on a media strategy

Remind them of your donations to their campaigns

Talk to SEC directly

Hire more lobbyists/give them more money

Send letters to clients to let them know about the issue….....

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