Columbia Management Investment files with the SEC-continued

February 29, 2012--Columbia Management Investment has filed a post-effective amendment, registration statement with the SEC for the Columbia Concentrated Large Cap Value Strategy Fund (GVT).

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Source: SEC.gov


American ETP News
JP Morgan files with the SEC-JPMorgan Diversified Alternatives ETF
June 21, 2016--J.P. Morgan has filed a post-effective amendment, registration statement with the SEC for the JPMorgan Diversified Alternatives ETF.
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Global X files with the SEC-Global X Conscious Companies ETF
June 21, 2016--Global X has filed a post-effective amendment, registration statement with the SEC for the Global X Conscious Companies ETF.
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CFTC Commitments Of Traders Reports Update
June 17, 2016--The current reports for the week of June 14, 2016 are now available.
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SEC Approves IEX Proposal to Launch National Exchange, Issues Interpretation on Automated Securities Prices
June 17, 2016--The Securities and Exchange Commission today approved Investors' Exchange LLC's (IEX) application to register as a national securities exchange.
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United States Commodity Funds files with the SEC
June 17, 2016--United States Commodity Funds has filed a form S-1 registration statement with the SEC for the USCF Canadian Crude Oil Index Fund.
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June 16, 2016--Alps has filed a post-effective amendment, registration statement with the SEC.
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First Trust files with the SEC
June 16, 2016--First Trust has filed a post-effective amendment, registration statement with the SEC.
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Columbia Management files with the SEC
June 16, 2016--Columbia Management Investment Advisers, LLC has filed with the SEC filled a post-effective amendment, registration statement with the SEC for the Columbia Sustainable Global Equity Income ETF, Columbia Sustainable International Equity Income ETF and Columbia Sustainable U.S. Equity Income ETF series.
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Investors buy into 'fiduciary standard'
June 16, 2016--The increased appetite for independent advice has been a boon for registered investment advisers in the US, who are paid flat fees by investors.
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Empowered Funds files with the SEC
June 15, 2016--Empowered Funds has filed a application for exemptive relief with the SEC-Alpha Architect ETF Trust.
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Arrow Investments files with the SEC2 post-effective amendments, registration statement
June 15, 2016--Arrow Investments has filed 2 post-effective amendments, registration statements with the SEC
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First Trust files with the SEC-First Trust RiverFront Dynamic Emerging Markets ETF
June 15, 2016--First Trust has filed a post-effective amendment, registration statement with the SEC for the First Trust RiverFront Dynamic Emerging Markets ETF.
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J.P. Morgan files with the SEC-JPMorgan Diversified Return U.S. Small Cap Equity ETF
June 15, 2015--J.P. Morgan has filed a post-effective amendment, registration statement with the SEC for the JPMorgan Diversified Return U.S. Small Cap Equity ETF.
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NuShares files with the SEC
June 15, 2016--NuShares has filed a form N-1A registration statement with the SEC for the NuShares Enhanced Yield U.S. Aggregate Bond ETF.
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The pumped-up funds that regulators want to deflate
June 15, 2016--As investors flock to more complex exchange-traded fund structures, US regulators may be about to spoil the party.
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Davis Selected Advisers files with the SEC
June 14, 2016--Davis Selected Advisers has filed a amended application for exemptive relief with the SEC.
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ProShares files with the SEC
June 14, 2016--ProShares has filed a post-effective amendment, registration statement with the SEC for ProShares MSCI Japan Dividend Growers ETF.
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TrimTabs files with the SEC
June 14, 2016-TrimTabs has filed a filed a post-effective amendment, registration statement with the SEC for the TrimTabs Float Shrink ETF.
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Bank of Montreal files with the SEC
June 14, 2016--Bank of Monreal has filed a amendment No.1 to form S-1 registration statement with the SEC for the Vaulted Gold Bullion Trust.
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Franklin Templeton files with the SEC
June 13, 2016--Franklin Templeton has filed a post-effective amendment, registration statement with the SEC.
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AccuShares files with the SEC
June 13, 2016--AccuShares has filed a pre-Effective Amendment No. 2, form S-1 registration statement with the SEC for the AccuShares S&P GSCI Crude Oil Excess Return Up Shares
AccuShares S&P GSCI Crude Oil Excess Return Down Shares.
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iShares files with the SEC-iShares MSCI EAFE ESG Select ETF
June 10, 2016--iShares has filed a post-effective amendment, registration statement with the SEC for the iShares MSCI EAFE ESG Select ETF.
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iShares files with the SEC- iShares MSCI EM ESG Select ETF
June 10, 2016--iShares has filed a post-effective amendment, registration statement with the SEC for the iShares MSCI EM ESG Select ETF.
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iShares files with the SEC-iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF
June 10, 2016--iShares has filed a post-effective amendment, registration statement with the SEC for the iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF.
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iShares files with the SEC- iShares Fallen Angels USD Bond ETF
June 10, 2016--iShares has filed a post-effective amendment, registration statement with the SEC for the iShares Fallen Angels USD Bond ETF.
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Hartford files with the SEC
June 9, 2016--Hartford funds has filed a amended and restated application for exemptive relief with the SEC.
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DBX files with the SEC
June 9, 2016--DBX has filed a post-effective amendment, registration statement with the SEC.
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Puerto Rico debt bill passed by House
June 9, 2016--Emergency measures head for Senate as island faces $2bn payments
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TrimTabs files with the SEC
June 8, 2016--TrimTabs has filed a application for exemptive relief with the SEC.
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AdvisorShares files with the SEC
June 8, 2016--AdvisorShares has filed a post-effective amendment, registration statement with the SEC for the AdvisorShares KIM Korea Equity ETF.
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SEC Adopts Trade Acknowledgment and Verification Rules for Security-Based Swap Transactions
June 8, 2016--The Securities and Exchange Commission today announced that it has adopted rules that will establish timely and accurate trade acknowledgment and verification requirements for security-based swap (SBS) entities that enter into SBS transactions.
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Oppenheimer to pay nearly $3 million for improper ETF sales: regulator
June 8, 2016--Oppenheimer & Co agreed to pay nearly $3 million in fines and restitution to settle U.S. regulatory charges that it improperly sold risky exchange-traded funds to risk-averse elderly customers and other retail investors.
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StrategyShares files with the SEC-US Market Rotation Strategy ETF
June 8, 2016-StrategyShares has filed a post-effective amendment, registration statement with the SEC for the US US Market Rotation Strategy ETF (formerly, US Equity Rotation Strategy ETF).
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Guggenheim files with the SEC-Guggenheim MSCI Global Timber ETF
June 7, 2016--Guggenheim has filed a post-effective amendment, registration statement with the SEC for the Guggenheim MSCI Global Timber ETF.
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Guggenheim files with the SEC-Guggenheim S&P Spin-Off ETF
June 7, 2016--Guggenheim has filed a post-effective amendment, registration statement with the SEC for the Guggenheim S&P Spin-Off ETF.
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Janus files with the SEC
June 7, 2016--Janus Detroit Street Trust has filed a post-effective amendment, registration statement with the SEC for the
The Health and Fitness ETF
The Long-Term Care ETF, The Obesity ETF and The Organics ETF.
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CBO-Monthly Budget Review for May 2016
June 7, 2016--The federal budget deficit was $408 billion for the first eight months of fiscal year 2016, CBO estimates-$41 billion more than the shortfall recorded during the same period last year.
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Gabelli NextShares Trust files with the SEC
June 6, 2016--Gabelli NextShares Trust has filed a pre-effective amendment, registration statement with the SEC for the
Gabelli ESG NextShares
Gabelli All Cap NextShares
Gabelli Equity Income NextShares
Gabelli Small and Mid Cap Value NextShares
Gabelli Media Mogul NextShares.
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Foreside files with the SEC-2 applications
June 6, 2016--Foreside has filed 2 applications for exemptive relief with the SEC.
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Northern Lights files with the SEC
June 6, 2016--Northern Trust has file a application for exemptive relief with the SEC-actively managed ETFs.
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Strategy Shares files with the SEC
June 6, 2016--Strategy Shares has filed a application for exemptive relief with the SEC.
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ETF Series Solutions files with the SEC
June 6, 2016--ETF Series Solutions has filed a post-effective amendment, registration statement with the SEC.
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ESMA updates its EMIR Q&A
June 6, 2016--The European Securities and Markets Authority (ESMA) has issued today an update of its Q&A on practical questions regarding the European Markets Infrastructure Regulation (EMIR).
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BMO elevates Wilson to global funds chief
June 6, 2016--Former F&C chief who joined Canadian group after 2014 takeover named CEO and CIO of its £160bn asset management unit.
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Moriarty on the SEC's Moves to Curb Leveraged ETFs in The Wall Street Journal
June 6, 2016--In 'SEC Moves to Curb Leveraged ETFs,' Corporate partner Kathleen Moriarty spoke with The Wall Street Journal about the recent news of the Securities and Exchange Commission (SEC) moving to limit a type of ETF allowing small investors to try to double, or even triple, the daily return of stock markets, or even bet on such swings in the opposite direction.
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SEC Moves to Curb Leveraged ETFs
Investments can double or triple daily return of stock markets or bet on opposite moves
June 6, 2016--It is a rare case of regulator's remorse.
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Vaulted Gold Bullion Trust files with the SEC
June 6, 2016--Vaulted Gold Bullion Trust has filed a form S-1 registration statement with the SEC for the Vaulted Gold Bullion.
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First Trust files with the SEC-First Trust ZyFin India Quality and Governance ETF.
June 6, 2016--First Trust has filed a post-effective amendment, registration statement with the SEC for the First Trust ZyFin India Quality and Governance ETF.
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First Trust files with the SEC
June 6, 2016--First Trust has filed a post-effective amendment, registration statement with the SEC for the First Trust Horizon Managed Volatility Domestic ETF and First Trust Horizon Managed Volatility Developed International ETF.
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Virtus files with the SEC
June 3, 2016--Virtus has filed a post-effective amendment, registration statement with the SEC for the Virtus Enhanced DWA U.S. Equity ETF.
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US job growth slowest since 2010
June 3, 2016--Worse than expected data deal blow to chance of rate rise at next Fed meetings.
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Global X files with the SEC
June 3, 2016--Global X has filed a second amended application for exemptive relief with the SEC.
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Alps files with the SEC
June 2, 2016--Alps has filed a post-effective amendment, registration statement with the SEC for the
RiverFront Dynamic Unconstrained Income ETF
RiverFront Dynamic Core Income ETF.
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Franklin Templeton files withh the SEC
June 1, 2016--Franklin Templeton has filed a post-effective amendment, registration statement with the SEC for the Franklin Liberty U.S. Low Volatility ETF
Franklin Liberty Investment Grade Corporate ETF
Franklin Liberty International Opportunities ETF.
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Brazil economy shrinks 5.4%
June 1, 2016--Contraction less than feared but nation faces its worst recession.
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Elkhorn files with the SEC-Elkhorn S&P High Quality Preferred ETF
June 1, 2016--Elkhorn has filed a post-effective amendment, registration statement with the SEC for the Elkhorn S&P High Quality Preferred ETF.
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Amplify files with the SEC
May 31, 2016--Amplify has filed a post-effective amendment, registration statement with the SEC for the YieldShares Prime 5 Dividend ETF.
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Columbia Management Investment Advisers files with the SEC
May 31, 2016--Columbia Management Investment Advisers has filed a pre-effective amendment no.1, registration statement with the SEC. This pre-effective amendment relates solely to the Columbia Sustainable Global Equity Income ETF, Columbia Sustainable International Equity Income ETF and Columbia Sustainable U.S. Equity Income ETF series.
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SSgA files with the SEC-SPDR Dorsey Wright Fixed Income Allocation ETF
May 31, 2016--SSgA has filed a post-effective amendment, registration statement with the SEC for the SPDR Dorsey Wright Fixed Income Allocation ETF.
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USCF files with the SEC-USCF Dynamic Commodity Index ETF
May 31, 2016--USCF has filed a post-effective amendment, registration statement with the SEC for the USCF Dynamic Commodity Index ETF.
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Amplify files with the SEC
May 31, 2016--Amplify has filed a post-effective amendment, registration statement with the SEC for the YieldShares Prime 5 Dividend ETF.
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Columbia Management files with the SEC-Columbia Sustainable Global Equity Income ETF
May 31, 2016--Columbia Management ha filed a pre-effective amendment, registration statement with the SEC for the Columbia Sustainable Global Equity Income ETF.
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Van Eck files with the SEC
May 31, 2016--Van Eck has filed a post-effective amendment, refgistration statement with the SEC for the VanEck Vectors Long/Flat Commodity ETF.
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Pointbreak files with the SEC
May 31, 2016--Pointbreak has filed a post-effective amendment, registration statement with the SEC.
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H.R. 1309, Systemic Risk Designation Improvement Act of 2015
May 31, 2016--H.R. 1309 would amend current law to change the process and procedures that federal regulators follow for determining which bank holding companies should be designated as systemically important financial institutions (SIFIs).
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ArrowShares files with the SEC-Arrow Dow Jones Global Yield ETF
May 27, 2016--ArrowShares has filed a post-effective amendment, registration statement with the SEC for the Arrow Dow Jones Global Yield ETF.
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ArrowShares files with the SEC-Arrow QVM Equity Factor ETF
May 27, 2016--ArrowShares has filed a post-effective amendment, registration statement with the SEC for the Arrow QVM Equity Factor ETF.
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Global Currency Gold Trust files with the SEC
May 27, 2016--The Global Currency Gold Fund has filed a amendment no. 2 to form S-1 registration statement with the SEC.
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KraneShare files with the SEC
May 27. 2016--KraneShares has filed a post-effective amendment, registration statement with the SEC for the The KraneShares Zacks New China ETF (formerly, KraneShares CSI New China ETF).
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Direxion files with the SEC
May 26, 2016--Direxion has filed a post-effective amendment, registration statement with the SEC for the Direxion Auspice Broad Commodity Tactical ETF.
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Franklin Templeton files with the SEC
May 26, 2016--Franklin Templeton has filed a pre-effective amendment no.4, registration statement with the SEC for the
Franklin LibertyQ International Equity Hedged ETF
Franklin LibertyQ Emerging Markets ETF
Franklin LibertyQ Global Dividend ETF
Franklin LibertyQ Global Equity ETF.
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PowerShares files with the SEC
May 26, 2016--PowerShares has filed a psot-effective amendment, registration statement with the SEC for the PowerShares Variable Rate Investment Grade Portfolio.
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