Americas ETP News
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Pimco files with the SEC
August 31, 2011-Pimco has filed a post-effective amendment no. 34, registration statement with the SEC for the PIMCO ETF Trust.
view filing
Source: SEC.gov
SPDR files with the SEC
August 31, 2011--SPDR has filed a post-effective amendment No. 69, registration statement with the SEC for the following:
SPDR Dow Jones Total Market ETF (TMW)
SPDR Dow Jones Large Cap ETF (ELR)
SPDR S&P® 500 Growth ETF (SPYG)
SPDR S&P 500 Value ETF (SPYV)
SPDR Dow Jones Mid Cap ETF (EMM)
SPDR S&P 400 Mid Cap Growth ETF (MDYG)
SPDR S&P 400 Mid Cap Value ETF (MDYV))
SPDR S&P 600 Small Cap ETF (SLY))
SPDR S&P 600 Small Cap Growth ETF (SLYG))
SPDR S&P 600 Small Cap Value ETF (SLYV))
SPDR Global Dow ETF (DGT))
SPDR Dow Jones REIT ETF (RWR))
SPDR S&P Bank ETF (KBE))
SPDR S&P Capital Markets ETF (KCE))
SPDR S&P Insurance ETF (KIE))
SPDR S&P Mortgage Finance ETF (KME))
SPDR S&P Regional Banking ETF (KRE))
SPDR Morgan Stanley Technology ETF (MTK))
SPDR S&P Dividend ETF (SDY)
view filing
Source: SEC.gov
SEC Seeks Public Comment on Asset-Backed Issuers and Mortgage-Related Pools Under Investment Company Act
August 31, 2011--The Securities and Exchange Commission today voted unanimously to request public comment on the treatment of asset-backed issuers as well as real estate investment trusts (REITs) and other mortgage-related pools under the Investment Company Act.
Through an advance notice of proposed rulemaking, the SEC is seeking public input on possible amendments the agency might consider proposing to Rule 3a-7, which excludes certain issuers of asset-backed securities from having to comply with the requirements of the Investment Company Act. An advance notice of proposed rulemaking provides the public the opportunity to weigh in even before the SEC develops a formal rule proposal.
view concept release-Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments
Source: CFTC.gov
SEC Seeks Public Comment on Use of Derivatives by Mutual Funds and Other Investment Companies
August 31, 2011 – The Securities and Exchange Commission today voted unanimously to seek public comment on a wide range of issues raised by the use of derivatives by mutual funds and other investment companies regulated under the Investment Company Act.
The SEC is seeking public input through a concept release, which is a Commission-approved document that poses an idea or ideas to the public to get their views. The Commission will use the comments received in response to this concept release to help determine whether regulatory initiatives or guidance is needed that would continue to protect investors and fulfill the purposes underlying the Investment Company Act.
view concept release-Use of Derivatives by Investment Companies under the Investment Company Act of 1940
Source: SEC.gov
Fee Rate Advisory #2 for Fiscal Year 2012
August 31, 2011 – The Securities and Exchange Commission today announced that in fiscal year 2012 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $114.60 per million dollars.
The Commission determined this new rate in accordance with procedures required under the securities laws. Accordingly, the Commission consulted with both the Congressional Budget Office and the Office of Management and Budget regarding the annual adjustment.
view the Order Making Fiscal Year 2012 Annual Adjustments to Registration Fee Rates
Source: SEC.gov
United States Commodity Funds files with the SEC
August 31, 2011--United States Commodity Funds has filed an Amendment No.1 to Form S-1 with the SEC for the United States Metals Index Fund
United States Agriculture Index Fund and
United States Copper Index Fund
view filing
Source: SEC.gov
BNP Paribas files with the SEC
August 31, 2011--BNP Paribas has filed a Pre-Effective Amendment No.1 to Form S-1 registration statement with the SEC for the BNP Paribas Enhanced Volatility Fund.
view filing
Source: SEC.gov
S&P Indices launches S&P MILA 40
New Index to Serve as the Primary Measure of Equity Market Performance in Andean Region
August 31, 2011-- S&P Indices announced today the launch of the first in a series of indices designed to measure the performance of the MILA Integrated Market. The S&P MILA 40 gauges the returns of the largest and most liquid stocks trading on the Mercado Integrado Latino Americano (MILA) platform, an integrated trading venture formed by the Chile, Colombia and Peru stock exchanges.
The agreement between MILA and S&P Indices, formally announced today at a signing ceremony in Santiago, Chile, will result in the development of additional, broad-market and sector indices intended to capture the performance of stocks offered in the three MILA countries.
"Equities from the Andean nations have been among the best performing stocks in all emerging markets," said Alka Banerjee, Vice President of Global Equity Indices at S&P Indices. "The S&P MILA 40 has been designed to provide local and international investors alike with a sound benchmark by which to judge and follow their investments in this important region of the world."
read more
Source: Standard & Poor's
CME chief attacks CFTC over reforms
August 31, 2011--The head of CME Group, the US’s biggest futures exchange, has launched a fierce public attack on Washington regulators, saying the way new financial rules have been written is legally unsound and calling for their implementation to be delayed.
In a letter to the Commodity Futures Trading Commission, the US futures watchdog, Craig Donohue, CME chief executive, accused the agency of failing to conduct an adequate cost-benefit analysis of its proposed rules stemming from last year’s Dodd-Frank Act, which overhauled financial regulation.
read more
Source: CME Group
Van Eck files with the SEC
August 30, 2011--Van Eck has filed a post-effective amendment, registration statement with the SEC for the Mortgage REIT Income ETF.
view filing
Source: SEC.gov
