"Unreasonably Feeble"-continued

Opening Statement of Commissioner Scott D. O'Malia Regarding Open Meeting on One Final Rule and One Proposed Rule1
February 23, 2012--Introduction
The latest issue of The Economist features an article titled "Over-regulated America"2 that features as its archetype for excessive and badly-written regulation our own Dodd-Frank Act.
The problem, the article points out, is that rules that sound reasonable on their own may impose a huge collective burden due, in part, to their complexity. Part of the problem is that we, as The Economist points out, are under the impression that we can anticipate and regulate for every eventuality. In our hubris, The Economist warns, our overreaching tends to defeat our good intentions and creates loopholes and perhaps unintentional safe-harbors, leaving our rules ineffectual and subject to abuse. The solution The Economist offers isn’t so unfamiliar, at least to this Commissioner. It is rather simple. It is just that: Rules need to be simple. Echoing President Obama’s 2011 Executive Order 13563 “Improving Regulation and Regulatory Review”3 (which applies equally to independent federal agencies such as the Commodity Futures Trading Commission (the “Commission” or “CFTC”) per a subsequent Executive Order4), The Economist advises that we ought to cut out the verbiage and focus on writing rules that articulate broad goals and prescribe only what is strictly necessary to achieve them.

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Source: CFTC.gov


American ETP News
KraneShares files with the SEC
January 30, 2015--KraneShares has filed a post-effective amendment, registration statement with the SEC for the KraneShares FTSE Emerging Markets Plus ETF.
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ProShares files with the SEC
January 29, 2015--ProShares has filed a post-effective amendment, registration statement with the SEC. This post-effective amendment relates only to ProShares S&P MidCap 400 Dividend Aristocrats ETF and ProShares Russell 2000 Dividend Growers ETF.
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FactorShares files with the SEC
January 29, 2015--FactorShares has filed a post-effective amendment, registration statement with the SEC for the PureFundsTM ISE Junior Silver (Small Cap Miners/Explorers) ETF.
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Imagine Software Inc. Partners With XTF To Deliver Advanced ETF Data And Analytics
XTF is the first global, independent provider of ETF Ratings.
January 29, 2015-Imagine Software, a leading provider of real-time portfolio and risk management solutions for the global financial services industry, today announced that it has partnered with XTF Inc. to provide clients with advanced data for exchange traded funds and the ability to conduct integrated analytics on portfolio positions and derivatives.
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First Trust files with the SEC
January 29, 2015--First Trust has filed a post-effective amendment, registration statement with the SEC for the First Trust Strategic Floating Rate ETF.
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ETF Securities files ith the SEC
January 29, 2015--ETF Securities has filed a psot-effective amendment, registration statement with the SEC. This Post-Effective Amendment No. 1 relates the ETFS Zacks Earnings Large-Cap U.S. Index Fund, ETFS Zacks Earnings Small-Cap U.S. Index Fund, ETFS Diversified-Factor U.S. Large Cap Index Fund and ETFS Diversified-Factor Developed Europe Index Fund.
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ETF Managers Capital files with the SEC
January 28, 2015--ETF Managers Capital has filed a pre-Effective amendment No. 3, form S-1 registration statement with the SEC for the Sit Rising Rate ETF.
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Direxion files with the SEC
January 27, 2015--Direxion has filed a post-effective amendment, registration statement with the SEC for the Direxion Daily CSI 300 China A Share Bear 1X Shares Trust.
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Exchange Listed Funds Trust files with the SEC
January 27, 2015--Exchange Listed Funds Trust has filed a registration statement with the SEC for the
Defensive Dividend Growth ETF
Defensive International Dividend Growth
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ETFis files with the SEC
January 26, 2015--ETFis has filed a post-effective amendment, registration statement with the SEC for the Newfleet Multi-Sector Unconstrained Bond ETF.
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Compass files with the SEC
January 26, 2015--Compass EMP Funds Trust has filed a first restated and amended application for exemptive relief with the SEC.
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Capital Research and Management Company files with the SEC
January 26, 2015--Capital Research and Management Company has filed a second amended and restated application for exemptive relief with the SEC-actively-managed ETFs.
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Virtus Investment Partners to Acquire Majority Interest In ETF Issuer Solutions
January 26, 2015--Virtus Investment Partners, Inc. (NASDAQ: VRTS), which operates a multi-manager asset management business, today announced an agreement to acquire a majority interest in ETF Issuer Solutions (ETFis), a New York City-based company that operates a platform for listing, operating, and distributing exchange-traded funds.
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Horizons ETFs announces changes to the Horizons Equity Managed Risk ETFs
January 23, 2015--Horizons ETFs Management (Canada) Inc. ("Horizons ETFs") and its affiliate AlphaPro Management Inc. ("AlphaPro") are announcing that, effective immediately, that Horizons ETFs will assume all day-to-day portfolio management responsibilities on the Horizons US Equity Managed Risk ETF ("HUS").
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EGA Emerging Global Shares files with the SEC
January 23, 2015--EGA Emerging Global Shares has filed a post-effective amendment, registration statement with the SEC. This Amendment relates only to the EGShares EM Equity Value ETF.
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ETF Plus 1 Trust files with the SEC
January 23, 2015--ETF Plus 1 Trust has filed a FORM N-1A, registration statement with the SEC for the 1-3 Month Liquidity Bonds ETF, a actively-managed ETF.
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ETF Plus 1 Trust files with the SEC
January 23, 2015--ETF Plus 1 Trust has filed a application for exemptive relief with the SEC-actively-managed ETFs.
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SPDR S&P MIDCAP 400 ETF TRUST-SEC Filing
January 23, 2015--SPDR S&P MIDCAP 400 ETF TRUST psot-effective amendment no. 25 to form S-6.
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Van Eck files with the SEC
January 23, 2015--Van Eck has filed a post-effective amendment, registration statement with the SEC.
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iShares files with the SEC
January 23, 2015--iShares has filed a post-effective amendment, registration statement with the SEC for the iShares MSCI Emerging Workforce ETF.?
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Highland Capital Management Announces Expansion of ETF Platform
January 22, 2015--Dallas-based investment management firm Highland Capital Management Fund Advisors, L.P. (together with its affiliates "Highland"), is pleased to announce the expansion of its suite of Exchange Traded Funds ("ETFs") with the initial registration of 17 new ETFs.
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Direxion Launches 3X Leveraged ETFs Tracking FTSE Developed Europe Index
New Products Provide Bull and Bear Traders with Exposure to Developed European Markets
January 22, 2015--Direxion, a leader in alternative investment solutions, has launched a pair of leveraged exchange-traded funds (ETFs) tracking the equity performance of mid-and large-capitalization companies in Europe's developed markets.
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First Trust files with the SEC
January 22, 2015--First Trust has filed a post-effective amendment, registration statement with the SEC.
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Guggenheim files with the SEC
January 21, 2015--Guggenheim has filed a post-effective amendment, registration statement with the SEC for the
Guggenheim China All-Cap ETF
Guggenheim China Technology ETF
Guggenheim S&P Global Water Index ETF
Guggenheim Solar ETF
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Fidelity files with the SEC
January 21, 2015--Fidelity has filed a post-effective amendment, registration statement with the SEC for the Fidelity(R) MSCI Real Estate Index ETF.
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Horizons ETFs launches the Horizons Cdn Insider Index ETF
Horizons Cdn Insider Index ETF is the first Canadian ETF to track insider commitment to determine stock holdings
January 21, 2015--Horizons ETFs Management (Canada) Inc. ("Horizons ETFs") is pleased to announce the launch of the Horizons Cdn Insider Index ETF ("HII"),
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iShares Goes Global in Expansion of Factor ETF Lineup
January 21, 2015--BlackRock's (BLK) iShares unit, the world's largest issuer of exchange traded funds, expanded its already successful lineup of factor-based ETFs with last week's launches of two international factor funds.
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Exchange Traded Concepts files with the SEC
January 21, 2015--Exchange Traded Concepts has filed a post-effective amendment, registration statement with the SEC for the EVE/S&P Municipal Bond Puerto Rico ETF.
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SPDR S&P 500 ETF Trust- SEC Filing
January 21, 2015--SPDR S&P 500 ETF Trust has filed a post-effective amendment, registration statement with the SEC.
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First Trust files with the SEC
January 21, 2015--First Trust has filed a post-effective amendment, registration statement with the SEC.
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Direxion files with the SEC
January 21, 2015--Direxion has filed a post-effective amendment, registration statement with the SEC.
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Direxion files with the SEC
January 21, 2015--Direxion has filed a post-effective amendment, registration statement with the SEC.
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Guggenheim files with the SEC
January 21, 2015--Guggenheim has filed a post-effective amendment, registration statement with the SEC for the
Guggenheim BRIC ETF
Guggenheim Defensive Equity ETF
Guggenheim Insider Sentiment ETF
Guggenheim Mid-Cap Core ETF
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Horizons ETFs CEO leaves
January 20, 2015--Horizons ETFs Management (Canada) Inc. says CEO Adam Felesky has left the company.
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WisdomTree Cross-Lists 4 Additional ETFs on Bolsa Mexicana de Valores
January 22, 2015--WisdomTree Investments, Inc. (Nasdaq:WETF), an exchange-traded fund ("ETF") and exchange-traded product ("ETP") sponsor and asset manager, today announced that an additional four WisdomTree ETFs have been listed on The Mexican Stock Exchange, Bolsa Mexicana de Valores (BMV), S.A.B. de C.V.
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First Asset Opens the Market
January 20, 2015--Barry Gordon, President and CEO, First Asset joined Amelia Nedovich, Head, Business Development, Exchange Traded Funds and Structured Products, TMX Group to open the market to launch First Asset Active Credit ETF (FAO, FAO.U).
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ETF Securities Launch First ETFs to Provide Access to Zacks' Earnings Analysis
January 20, 2015--ETF Securities, one of the world's leading, independent providers of Exchange-Traded Products (ETPs) has launched two new exchange traded funds (ETFs) based on Zacks proprietary earnings investment strategies covering US equities.
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Invesco PowerShares Announces Launch of Russell 1000 Equal Weight Portfolio (EQAL)
January 20, 2015--Invesco PowerShares Capital Management, LLC, a leading global provider of exchange-traded funds (ETFs), announced the launch of the PowerShares Russell 1000 Equal Weight Portfolio (EQAL), which was listed on December 23, 2014 on the NYSE.
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Highland Capital Management files with the SEC
January 20, 2015--Highland Capital Management has filed a post-effective amendment, registration statement with the SEC.
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Goldman Sachs files with the SEC
January 20, 2015--Goldman Sachs has filed a second amended and restated application for exemptive relief with the SEC.
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Goldman Sachs files with the SEC
January 20, 2015--Goldman Sachs has filed a second amended and restated application for exemptive relief with the SEC.
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First Asset Active Credit Fund Completes Merger with First Asset Active Credit ETF
January 19, 2015--Further to its press release on January 13, 2015, First Asset Investment Management Inc. (the "Manager") announces that the merger of First Active Credit Fund (formerly, First Asset Yield Opportunity Trust) (TSX: FAY.UN and FAY.U)
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Price set for Winklevoss Bitcoin ETF
January 19, 2015--Regulatory filings show that the duo intends to issue more than 20m shares of their virtual currency-tracking exchange traded fund and have pegged the price at $20.09 per share.
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Money Managers Led by Fidelity Close to Launch of Dark Pool
Effort Involves 9 Firms Including BlackRock, J.P. Morgan and BNY Mellon
January 19, 2015--Big money managers led by Fidelity Investments are close to launching a private trading venue designed to let them buy and sell large blocks of stock without the involvement of Wall Street firms and high-speed traders, according to people familiar with the matter.
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Eaton Vance signs first client for nontransparent ETPs
January 18, 2015--American Beacon has inked a deal with Eaton Vance's Navigate Fund Solutions subsidiary to use the NextShares model for its own line of nontransparent exchange traded products.
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Pimco takes $200bn hit in outflows
January 17, 2015-Pimco's assets under management fell 16 per cent in the fourth quarter of 2014, as the company dealt with the fallout of the departure of its founder Bill Gross.
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CFTC.gov Commitments of Traders Reports Update
January 16, 2015--The current reports for the week of January 13, 2015 are now available.
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AdvisorShares Announces the Closure of Two of Its Four Currency Hedged Gold ETFs
January 16, 2015--AdvisorShares, a leading sponsor of actively managed exchange-traded funds (ETFs), announced today the consolidation of its 40 Act Currency Hedged Gold ETF suite.
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January 16, 2015--SSgA has filed a post-effective amendment, registration statement with the SEC for the State Street Global Managed Volatility Portfolio.
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Direxion files with the SEC
January 16, 2015--Direxion has filed a post-effective amendment, registration statement with the SEC.
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PowerShares files with the SEC
January 16, 2015--PowerShares had filed a post-effective amendment, registration statement with the SEC for the PowerShares S&P 500 ex-Rate Sensitive Low Volatility Portfolio.
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Pacer files with the SEC
January 16, 2015--Pacer has filed a registration statement with the SEC.
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ETF Series Solutions files with the SEC
January 16, 2015--ETF Series Solutions has filed a application for exemptive relief with the SEC.
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SSgA files with the SEC
January 16, 2015--SSgA has filed a post-effective amendment, registration statement with the SEC.
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PowerShares Canada to terminate two ETFs
January 16, 2015--PowerShares Canada today announced that it will terminate PowerShares S&P/TSX Composite High Beta Index ETF ("THB") and PowerShares S&P 500 High Beta (CAD Hedged) Index ETF ("UHB") [the "ETFs"] effective the close of business on or about April 6, 2015.
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Listing requirements for ETFs
TSX proposals would introduce listing requirements for ETFs, closed-end funds and structured products
January 16, 2015--The Toronto Stock Exchange (TSX) is proposing to introduce listing requirements for the growing crop of non-corporate issuers, such as exchange traded funds (ETFs), closed-end funds, and structured products.
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AdvisorShares Weekly Market Update-Job Report Sends Mixed Signals
For the week of December 29-January 2
January 15, 2015--The non-farms jobs report delivered 252,000 new jobs created with the headline unemployment rate dropping to 5.6%.
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Van Eck files with the SEC
January 15, 2015--Van Eck has filed a amended application for exemptive relief with the SEC.
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Van Eck files with the SEC
January 15, 2015--Van Eck has filed a amended application for exemptive relief with the SEC.
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First Trust files with the SEC
January 15, 2015--First Trust has filed a post-effective amendment, registration statement with the SEC. This Registration Statement relates to First Trust Total US Market AlphaDEX(R)ETF (formerly known as First Trust Value Line(R) Equity Allocation Index Fund).
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American Beacon files with the SEC
January 15, 2015--American Beacon has filed a application for exemptive relief with the SEC-exchange-traded managed funds (ETMF).
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Fee Rate Advisory #3 for Fiscal Year 2015
January 15, 2015--The Securities and Exchange Commission today announced that starting on Feb. 14, 2015, the fee rates applicable to most securities transactions will be set at $18.40 per million dollars.
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BlackRock income falls amid fund outflows
January 15, 2015-BlackRock is pushing a "third way" for investors amid a crisis of confidence in active fund managers and the relentless rise of passive investing.
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U.S.-based stock funds post $4.1 billion outflows in week: Lipper
January 15, 2015--Investors in U.S.-based funds pulled $4.1 billion out of stock funds in the week ended Jan. 14, the second straight week of net outflows, data from Thomson Reuters' Lipper service showed on Thursday.
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American Beacon Advisors Announces Initiative To Launch NextSharesTM Exchange-Traded Managed Funds
Firm Is First Outside Licensee of NextShares
January 15, 2015--American Beacon Advisors, Inc. ("American Beacon"), an experienced provider of investment advisory services to institutional and retail markets, announced today it has entered into a preliminary agreement with Navigate Fund Solutions LLC ("Navigate"), a subsidiary of Eaton Vance Corp., to support the launch by American Beacon of a family of NextSharesTM exchange-traded managed funds.
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Regulators Want Data on Bond-Trade Fees
SEC, Others Scrutinize Markups Paid by Retail Bond Investors
January 14, 2015--As Sherry Dixon was researching her retirement in 2010, the 63-year-old home builder from Albuquerque, N.M., asked her broker to buy her municipal bonds for safety.
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U.S. House Approves Legislation Easing Dodd-Frank Provisions
January 14, 2015--House Republicans made one of their first attempts in the new Congress to roll back Dodd-Frank constraints on Wall Street, in what's poised to become a recurring battle with Democrats who oppose changing the law.
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Direxion Debuts Lightly Leveraged ETFs
January 14, 2015--Leveraged ETFs have traditionally been the domain of aggressive traders, hedge funds, and other institutional investors with an above-average risk tolerance.
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SEC Adopts Rules to Increase Transparency in Security-Based Swap Market
Commission Also Proposes Additional Security-Based Swap Transaction Reporting Rules and Guidance
January 14, 2015--The Securities and Exchange Commission today adopted two new sets of rules that will require security-based swap data repositories (SDRs) to register with the SEC and prescribe reporting and public dissemination requirements for security-based swap transaction data.
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New Study-Funds That Use Options-Growth (Part 1)
January 13, 2015--A new study -"Highlights of Performance Analysis of Options-Based Equity Mutual Funds, CEFs, and ETFs"-analyzed SEC-regulated investment companies that focus on use of exchange-listed options for portfolio management (options-based funds).
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SEC Announces 2015 Examination Priorities
January 13, 2015--The Securities and Exchange Commission today announced its Office of Compliance Inspections and Examinations’ (OCIE) priorities for 2015 which focus on three areas: protecting retail investors, especially those saving for or in retirement; assessing market-wide risks; and using data analytics to identify signs of potential illegal activity.
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Elkhorn files with the SEC
January 13, 2015--Elkhorn has filed a registration statement with the SEC for the Elkhorn S&P 500 Capital Expenditures Portfolio.
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TrimTabs files with the SEC
January 13, 2015--Trim Tabs has filed a post-effective amendment, registration statement with the SEC.
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ETFGI Press Release December 2014: United States
January 12, 2015--ETFs/ETPs listed in the United States end 2014 surpassing the 2 trillion US dollars in assets and gathering 245.7 billion US dollars a record level of net new assets according to research by ETFGI
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ETFGI Press Release December 2014: Canada
January 12, 2015--The ETF/ETP industry in Canada gathered a record level of 2.7 billion US dollars in net new assets in December 2014 according to ETFGI
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JP Morgan files with the SEC
January 12, 2015--JP Morgan has filed a post-effective amendment, registration statement with the SEC. This post-effective amendment No. 14 relates to JPMorgan Diversified Return Emerging Markets Equity ETF.
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Gross Says Pimco Fired Him After Offer to Scale Back Role
January 12, 2015--Bill Gross said he was fired from Pacific Investment Management Co., the first time he's publicly confirmed that he was dismissed from the firm he co-founded in 1971.
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ETF Managers Capital files with the SEC
January 12, 2015--ETF Managers Capital has filed a pre-registration statement, amendment no.2 with the SEC for the Sit Rising Rate ETF.
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iShares files with the SEC
January 12, 2015--iShares has filed a post-effective amendment, registration statement with the SEC for the iShares Convertible Bond ETF.
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Source files with the SEC
January 12, 2015--Source has filed a application for exemptive relief with the SEC.
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January 12, 20155--US ETF Weekly Update
Weekly Flows: $4.6 Billion Net Outflows
First Net Outflows in 14 Weeks
We Estimate 2014 ETF Net Inflows at $240.4 Billion
High
conviction ETF Recommendations Slide
ETF Assets Stand at $2.0 Trillion
Six ETF Launches Last Week
First Trust ETF Undergoes Changes
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U.S. SEC economists to write paper on risky ETFs and market volatility
January 9, 2015--U.S. Securities and Exchange Commission economists have begun scrutinizing riskier types of exchange-traded funds as part of an effort to determine whether they may inflame already rocky market conditions.
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iShares files with the SEC-iShares MSCI USA Small-Cap Multi-Factor ETF?
January 9, 2015--iShares has filed a post-effective amendment, registration statement with the SEC for the iShares MSCI USA Small-Cap Multi-Factor ETF.
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iShares files with the SEC-iShares MSCI USA Multi-Factor ETF
January 9, 2015--January 9, 2015-iShares has filed a post-effective amendment, registration statement with the SEC for the iShares MSCI USA Multi-Factor ETF.
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iShares files with the SEC- iShares MSCI Global Multi-Factor ETF
January 9, 2015-iShares has filed a post-effective amendment, registration statement with the SEC for the iShares MSCI Global Multi-Factor ETF.?
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iShares files with the SEC-iShares MSCI Emerging Multi-Factor ETF
January 9, 2015-iShares has filed a post-effective amendment, registration statement with the SEC for the iShares MSCI Emerging Multi-Factor ETF.
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ETFis files with the SEC
January 9, 2015--ETFis has filed a post-effective amendment, registration statement with the SEC for the Eccles Street Event Driven Opportunities ETF.
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ETF Series Solutions files with the SEC
January 9, 2015--ETF Series Solutions has filed a post-effective amendment, registration statement with the SEC.
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ETF Series Solutions files with the SEC
January 9, 2015--ETF Series Solutions has filed a post-effective amendment, registration statement with the SEC.
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Alps files with the SEC
January 9, 2015--Alps has filed a post-effective amendment, registration statement with the SEC.
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CFTC.gov Commitments of Traders Reports Update
January 9, 2015--The current reports for the week of January 6, 2015 are now available.
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BNY Mellon ADR Index Monthly Performance Update-December 2014
January 8, 2014--The BNY Mellon ADR Index Monthly Performance Update is now available.
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First Trust files with the SEC-First Trust Total US Market AlphaDEX(R) ETF
January 8, 2015--First Trust has filed a post-effective amendment, registration statement with the SEC for the First Trust Total US Market AlphaDEX(R) ETF (formerly known as First Trust Value Line(R) Equity Allocation Index Fund)
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First Trust files with the SEC-First Trust Total US Market AlphaDEX(R) ETF
January 8, 2015--First Trust has filed a post-effective amendment, registration statement with the SEC for the First Trust Total US Market AlphaDEX(R) ETF (formerly known as First Trust Value Line(R) Equity Allocation Index Fund).
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WisdomTree files with the SEC
January 8, 2015--WisdomTree has filed a post-effective amendment, registration statement with the SEC.
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CBO-Monthly Budget Review for December 2014
January 8, 2015--The federal government's budget deficit was $175 billion for the first three months of fiscal year 2015, $3 billion more than the shortfall recorded in the same period last year, CBO estimates.
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Mexico has a unique opportunity to boost growth and share prosperity more widely, according to the OECD
January 8, 2015--Mexico now has the chance to dramatically boost growth rates and resume convergence of its living standards towards those of advanced economies, reduce pervasive labour market informality and drive down high rates of poverty and income inequality.
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$2 billion company betting big on marijuana
January 8, 2015--Until now, it's been a few rich individuals who secretly funded burgeoning pot companies, but for the first time, a major investment firm is going to put multimillion dollars behind marijuana.
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AdvisorShares Weekly Market Update: 2014: A Year Of Very Big Numbers
January 8, 2015--Macro
Despite another year of double digit equity market returns the past week saw small declines across the board. The Dow Jones Industrial Average fell 1.26%, the S&P 500 was down 1.49%, the NASDAQ gave up 1.68% and the Russell 2000 was down 1.37%.
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Toroso Point of View-Business Characteristic ETFs: Completing the Core
January 7, 2015--In the past decade the indexing business has moved from a benchmarking business to an investable universe or an asset gathering business thanks, in large part, to the growth of the ETF industry.
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First Trust files with the SEC-First Trust Preferred Securities and Income ETF
January 7, 2015--First Trust has filed a post-effective amendment, registration statement with the SEC for the First Trust Preferred Securities and Income ETF.
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First Trust files with the SEC
January 7, 2015--First Trust has filed a post-effective amendment, registration statement with the SEC for the First Trust Total US Market AlphaDEX(R) ETF (formerly known as First Trust Value Line(R) Equity Allocation Index Fund)
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ETFS files with the SEC
January 7, 2015--ETFS has filed a pre-effective amendment, registration statement with the SEC for the
ETFS Zacks Earnings Large-Cap U.S. Index Fund (ZLRG)
ETFS Zacks Earnings Small-Cap U.S. Index Fund (ZSML)
ETFS Diversified-Factor U.S. Large Cap Index Fund (SBUS)
ETFS Diversified-Factor Developed Europe Index Fund (SBEU).
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PowerShares files with the SEC
January 7, 2015--PowerShares has filed a post-effective amendment, registration statement with the SEC. This filing filing relates solely to the PowerShares Russell 1000 Equal Weight Portfolio.
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Finadium launches Finadium for Investors, a new buy-side focused research subscription
January 7, 2015--Finadium for Investors is a new service from Finadium designed for asset managers, hedge funds, plan sponsors and other purchasers of bank services, equities and fixed income products.
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Minutes Of The Federal Open Market Committee, December 16-17, 2014
January 7, 2015--The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached minutes of the Committee meeting held on December 16-17, 2014.
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Exchange operator BATS calls for U.S. regulatory reform
January 6, 2015--Exchange operator BATS Global Markets on Tuesday called for changes to U.S. stock market rules, including slashing exchange fees for the most actively traded stocks, in the latest plea for regulatory reform from within the industry.
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FINRA Releases 2015 Regulatory and Exam Priorities Letter
Five Challenges Firms Should Address Highlighted in 10th Anniversary of Letter
January 6, 2015--The Financial Industry Regulatory Authority (FINRA) today released its 2015 Regulatory and Examination Priorities letter highlighting significant risks and issues that, if not properly addressed, could adversely affect investors and market integrity.
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Vanguard files with the SEC
January 6, 2014--Vanguard has filed a post-effective amendment, registration statement with the SEC
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Vanguard to Introduce Its First Municipal Bond Index Fund and ETF
January 6, 2015--Vanguard today filed a registration statement with the U.S. Securities and Exchange Commission to offer a national municipal bond index fund with an exchange-traded fund (ETF) share class.
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Alps files with the SEC
January 6, 2015--Alps has filed a post-effective amendment, registration statement with the SEC for the ALPS Enhanced Put Write Strategy ETF.
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Arrow files with the SEC
January 6, 2015--Arrow has filed a post-effective amendment, registration statement with the SEC for the Arrow QVM Equity Factor ETF.
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Finra to investigate payment for order flow
January 6, 2015--The brokerage industry's self-regulator will spend 2015 looking into whether deals between brokers and exchanges are taking money out of investors' pockets, regulators said in a letter outlining the year's oversight priorities.
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Morgan Stanley ETF Weekly Update
January 5, 2015--Weekly Flows: $5.8 Billion Net Inflows
Thirteenth Consecutive Week of Net Inflows
We Estimate 2014 ETF Net Inflows at $240.4 Billion
High-conviction ETF Recommendations Slide
read more
CBOE Futures Exchange Reports Record Trading Volume For 2014
January 5, 2015--New All--Time Highs for Exchange-Wide, VIX Futures Trading
Fifth Consecutive Record Year for VIX Futures
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Altavista-Sector SPDR Analyzer + Equal Sector Weight ETF (EQL), January 2015
January 5, 2015--The monthly update on each of the nine Select Sector SPDRs plus the ALPS Equal Sector Weight ETF.
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NASDAQ to Buy Dorsey, Wright & Associates for $225M
January 5, 2015--NASDAQ decided to purchase Dorsey,Wright & Associates, LLC (DWA) for $225 million to strengthen its position as a leading smart beta index provider in the United States.
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Vanguard Sets Record Funds Inflow
Investors Gave Stock Pickers a Vote of No Confidence in 2014
January 4, 2015--Investors gave stock pickers a resounding vote of no confidence in 2014, pouring $216 billion-a record inflow for any mutual-fund firm-into Vanguard Group, the biggest provider of index-tracking products, according to preliminary figures from the mutual-fund group.
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Dodge & Cox stockpicking fund bucks trend
January 4, 2015--As equity market investors moved in droves from active managers to index trackers in 2014, one stockpicking fund that bucked the trend did so in a remarkable way: without spending a cent on marketing.
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Mutual fund fee reform coming-maybe-sooner than you think
January 3, 2015--Canadian regulators will be armed with new research in early 2015 that investor advocates hope will finally prompt a clampdown on the use of embedded commissions on mutual fund sales.
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Five ProShares ETFs Join BATS Competitive Liquidity Provider Program
January 2, 2015--ProShares, a premier provider of alternative ETFs, announced today that five ProShares ETFs listed on the BATS Exchange will begin participating in the BATS Competitive Liquidity Provider ("CLP") Program starting today.
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ISE Reports Business Activity for December and Full Year 2014
January 2, 2015--For full year 2014, ISE and ISE Gemini combined for 16.0% equity options market share, excluding dividend trades, with an ADV of 2.4 million contracts.
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CFTC Provides Notice and Clarification of the Reopened Comment Period for its Rulemaking Proposals on Position Limits for Physical Commodity Derivatives and Aggregation
January 2, 2015--The U.S. Commodity Futures Trading Commission (CFTC or Commission) has submitted for publication in the Federal Register a clarification and notice regarding the
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Can Wall Street reform survive 2015?
January 1, 2015--In the final weeks of 2014, critics of President Obama's Wall Street reform scored their biggest victory to date, rolling back a new regulation on derivatives.
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