Russell files with the SEC-continued

March 1, 2012--Russell has filed a second amended and restated application for exemptive relief with the SEC.
view filing
Source: SEC.gov


American ETP News
CFTC Orders Aden Rusfeldt to Pay in Total More than $3.2 Million in Restitution and a Civil Monetary Penalty for Fraudulent Omissions in Connection with His Operation of ETF Trend Trading
September 29, 2016--Rusfeldt Failed to Disclose that He was Sued by the CFTC for Fraud in 2007 and Permanently Enjoined from Engaging in Any Commodity Interest Related Activity
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IMF-Brazil: Staff Concluding Statement of the 2016 Article IV Mission
September 29, 2016--1. Brazil's deep recession has many roots. Policymaking in recent years has failed to tackle long-standing structural problems and proven to be counterproductive, contributing to the erosion of policy credibility and a large contraction of output.
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Guggenheim files with the SEC-Guggenheim Enhanced Short Duration ETF
September 29, 2016--Guggenheim has filed a post-effective amendment, registration statement with the SEC for the Guggenheim Enhanced Short Duration ETF.
read more
SEC Proposes Rule Amendment to Expedite Process for Settling Securities Transactions
September 28. 2016--The Securities and Exchange Commission today voted to propose a rule amendment to shorten the standard settlement cycle for most broker-dealer securities transactions from three business days after the trade date (T+3) to two business days after the trade date (T+2).
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SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies
September 28, 2016--The Securities and Exchange Commission voted today to adopt new rules to establish enhanced standards for the operation and governance of securities clearing agencies that are deemed systemically important or that are involved in complex transactions, such as security-based swaps.
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SEC Charges UBS With Supervisory Failures in Sale of Complex Products to Retail Investors
September 28, 2016--The Securities and Exchange Commission today announced that UBS Financial Services has agreed to pay more than $15 million to settle charges that it failed to adequately educate and train its sales force about critical aspects of certain complex financial products it sold to retail investors.
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NuShares files with the SEC
September 28, 2016--NuShares has filed a post-effective amendment, registration statement with the SEC.
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Blue Tractor files with the SEC-Blue Tractor Large Cap Equity ETF
September 28, 2016--Blue Tractor has filed a form N-1A registration statement with the SEC for the Blue Tractor Large Cap Equity ETF.
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Blue Tractor files with the SEC
September 28, 2016--Blue Tractor has filed a first amended and restated application for exemptive relief with the SEC-actively managed ETFs.
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Dreyfus files with the SEC
September 28, 2016--Dreyfus has filed a application for exemptive relief with the SEC.
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DBX files with the SEC
September 28, 2016--DBX has filed a post-effective amendment, registration statement with the SEC.
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CBOE-Bats tie-up heralds big changes ahead
September 27, 2016--Deal promises to redraw the exchange industry landscape in North America.
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First Trust files with the SEC-First Trust CEF Income Opportunity ETF
September 27, 2016--First Trust has filed a pre-effective amendment, registration statement with the SEC for the First Trust CEF Income Opportunity ETF.
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Prime IndexesTM Debuts First Index with Prime 5 US Dividend ETF Index (PFIVE)
September 27, 2016--The new index offers a fresh approach to selecting the best dividend ETFs
Prime Indexes, an index creator focused on emerging trends in the ETF industry, launched its inaugural index, the Prime 5 U.S. Dividend ETF index (PFIVE), and licensed it to Amplify ETFs for the creation of a new income-oriented ETF. The fund was listed on BATS Global Markets on Sept. 21.
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Franklin Templeton files with the SEC-Franklin Liberty Short Duration U.S. Government ETF
September 26, 2016--Franklin Templeton has filed a post-effective amendment, registration statement with the SEC for the Franklin Liberty Short Duration U.S. Government ETF, formerly, Franklin Short Duration U.S. Government ETF.
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John Hancock files with the SEC-John Hancock Multifactor Developed International ETF
September 23, 2016--John Hancock has filed a post-effective amendment, registration statement with the SEC for the John Hancock Multifactor Developed International ETF.
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First Asset ETFs Actively Managed by Cambridge Global Asset Management
First Asset Cambridge Core Canadian Equity ETF
First Asset Cambridge Core U.S. Equity ETF
September 23, 2016--First Asset Investment Management Inc. ("First Asset") is pleased to announce the launch of First Asset Cambridge Core Canadian Equity ETF (TSX: FCE) and First Asset Cambridge Core U.S. Equity ETF (TSX:FCY and unhedged: FCY.B).
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AdvisorShares files with the SEC-AdvisorShares Focused Equity ETF
September 23, 2016--AdvisorShares has filed a post-effective amendment, registration statement with the SEC. This post-effective amendment No. 111 relates to the AdvisorShares Focused Equity ETF.
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ProShares files with the SEC-ProShares K-1 Free Crude Oil Strategy ETF
September 23, 2016--ProShares has filed a post-effective amendment, registration statement with the SEC for the ProShares K-1 Free Crude Oil Strategy ETF.
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CBOE in talks to buy smaller exchange rival Bats
September 23, 2016--CBOE, the US exchange best known for the Vix volatility indices, is in talks to purchase smaller rival Bats Global Markets in a deal that underscores consolidation sweeping through the US options industry...
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PowerShares Launches Variable Rate Investment Grade Portfolio (VRIG)
September 22, 2016--PowerShares and Invesco Fixed Income (IFI) partner on the first and only ETF with diversified exposure to multiple fixed income asset classes consisting of high-quality variable and floating rate securities.
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Foreside files with the SEC
September 22, 2016--Foreside has filed a amended and restated application for exemptive relief with the SEC.
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United Advisors and 55 Capital Announce Partnership to Provide a Suite of Dynamically Managed ETF Strategies to United Advisors' Clients
September 22, 2016--United Advisors, an advisor and wealth management support platform, and 55 Capital, an investment management company, today announced a strategic partnership to provide United's financial advisors with all five of 55 Capital's dynamically managed strategies.
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Franklin Templeton files with the SEC
September 22, 2016--Franklin Templeton has filed a post-effective amendment, registration statement with the SEC.
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First Trust Launches Seven ETFs Based on Nasdaq US Smart Sector IndexesSM
September 21, 2016--Sector-based index ETFs that use a three factor stock selection methodology incorporating volatility, value and growth.
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Amplify(R) ETFs Launches the Amplify YieldShares Prime 5 Dividend ETF (BATS: PFV)
September 21, 2016--PFV owns the five highest-ranked U.S. dividend ETFs across three categories: High dividend income, low share price volatility, and low expenses
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Bats Welcomes Elkhorn Fundamental Commodity Strategy ETF to the Bats ETF Marketplace
September 21, 2016--Now 101 Issues Listed on Bats in the U.S.
Bats Global Markets, Inc. (Bats: BATS), the #1 U.S. market for exchange-traded fund (ETF) trading, today welcomed the Elkhorn Fundamental Commodity Strategy ETF (Bats: RCOM) to the Bats ETF Marketplace.
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Barron's 400 ETF Strenghens Fundamentals In Semi-Annual Index Reconstitution and Rebalance
Sectors Reflecting Economic Strength Have High Continued Representation, Energy Allocation Pared Increased Weighting to Small-Cap Segment
September 21, 2016--The Barron's 400 ETF (NYSE Arca: BFOR), a smart beta exchangetraded fund that seeks to track the Barron's 400 Index (B400), has completed its semi-annual rebalance based on the reconstitution of its underlying benchmark.
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Strategy Shares files with the SEC-Active Alts Contrarian ETF
September 21, 2016--Strategy Shares has filed a post-effective amendment, registartion statement with the SEC for the Active Alts Contrarian ETF.
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iShares files with the SEC-iShares iBonds Dec 2026 Term Corporate ETF
September 21, 2016--iShares has filed a post-effective amendment, registration statement with the SEC. This filing relates solely to the following Fund-iShares iBonds Dec 2026 Term Corporate ETF.
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Recon Capital files with the SEC
September 21, 2016--Recon Capital has filed a post-effective amendment, registration statement with the SEC.
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Amplify files with the SEC-Amplify YieldShares Prime 5 Dividend ETF
September 21, 2016--Amplify has filed a post-effective amendment, registration statement with the SEC for the Amplify YieldShares Prime 5 Dividend ETF.
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Fiduciary rule to boost ETF flows
September 21, 2016--A change in how investment advice is administered in the US is set to boost the already gargantuan inflows into ETFs.
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AdvisorShares Launches the AdvisorShares Focused Equity ETF (CWS)
September 20, 2016--The fund's innovative fulcrum fee structure, an ETF industry first, directly aligns manager's incentive with shareholders' interests
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WisdomTree Names Anita Rausch as Head of Capital Markets
September 20, 2016--WisdomTree Investments, Inc. (NASDAQ:WETF), an exchange-traded fund ("ETF") and exchange-traded product ("ETP") sponsor and asset manager, today announced the appointment of Anita Rausch as Head of Capital Markets, bringing more than 20 years of industry experience to the role.
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Horizons ETFs Launches Two New Currency Hedged ETFs
September 20, 2016--New ETFs provide currency hedged exposure to the S&P 500(R) and U.S. Treasuries
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RBC Global Asset Management Inc. expands ETF Product Lineup with New Income-Oriented Solutions
September 20, 2016--RBC Global Asset Management Inc. (RBC GAM Inc.) today announced the launch of four new Exchange Traded Funds (ETFs). All four RBC ETFs begin trading today on the Toronto Stock Exchange.
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Northern Lights Fund files with the SEC
September 20, 2016--Northern Lights Fund has filed a post-effective amendment, registration statement with the SEC.
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STOXX USA 900 Minimum Variance Unconstrained Index To Underlie Exchange-Traded Fund In The US
September 20, 2016--STOXX Ltd., the operator of Deutsche Böerse Group's index business, and a global provider of innovative and tradable index concepts, today announced that the STOXX USA 900 Minimum Variance Unconstrained Index has been licensed to Recon Capital Partners as the underlying for an exchange-traded fund (ETF).
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VanEck Adds Two Funds To Suite Of Municiple Bond ETFs
September 20, 2016--Funds provide investors with targeted exposure with respect to curve positioning and duration exposure within the intermediate municipal bond segment
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SolidX Bitcoin files with the SEC-SolidX Bitcoin Trust
September 20, 2016--SolidX Bitcoin has filed a amendment no. 2 to form S-1 registration statement with the SEC for the SolidX Bitcoin Trust.
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StrongVest Global Advisors files with the SEC-actively managed ETFs
September 20, 2016--StrongVest Global Advisors has filed a application for exemptive relief with the SEC-actively managed ETFs.
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StrongVest Global Advisors files with the SEC
September 20, 2016--StrongVest Global Advisors has filed a application for exemptive relief with the SEC.
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TrimTabs files with the SEC-TrimTabs Float Shrink ETF
September 20, 2016==TrimTabs has filed a post-effective amendment, registration statement with the SEC for the TrimTabs Float Shrink ETF.
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Cambria files with the SEC
September 20, 2016--Cambria has filed a post-effective amendment, registration statement with the SEC. This post-effective amendment No. 27 relates to the Cambria Global Income and Currency Strategies ETF, Cambria Shareholder Yield ETF, Cambria Foreign Shareholder Yield ETF, Cambria Emerging Shareholder Yield ETF, Cambria Sovereign High Yield Bond ETF, Cambria Global Value ETF, Cambria Global Momentum ETF, Cambria Value and Momentum ETF and Cambria Global Asset Allocation ETF.
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NuShares files with the SEC
September 20. 2016--NuShares has filed a post-effective amendment, registration statement with the SEC.
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NuShares files with the SEC-NuShares Short-Term REIT ETF
September 19, 2016--NuShares has filed a post-effective amendment, registration statement with the SEC for the NuShares Short-Term REIT ETF.
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Hartford files with the SEC
September 19, 2016--Hartford has filed a third amended and restated application for exemptive relief with the SEC-actively managed ETFs.
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Strategy Shares files with the SEC
September 19, 2016--Strategy Shares has filed a post-effective amendment, registration statement with the SEC.
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iShares files with the SEC
September 19, 2016--iShares has filed a post-effective amendment, registration statement with the SEC. This filing relates solely to the following iShares Asia/Pacific Dividend ETF
iShares Emerging Markets Dividend ETF.
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Principal files with the SEC-
September 19, 2016--Principal has fileda post-effective amendment, registration statement with the SEC for the Principal U.S. Small Cap Index ETF.
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BNY Mellon-Regulation And Risk-DOL Rule-Another Ingredient for ETF Growth
Accelerating Growth: The Department of Labor Conflict of Interest Rule and its impact on the ETF industry|September 2016
September 19, 2016--On April 10, 2016 the DOL finalized its Conflict of Interest Rule, which re-defines the term fiduciary for the Employee Retirement Income Security Act of 1974 and the Internal Revenue Code of 1986. This paper will explore the basics of the rule, and look at potential effects on the ETF industry.
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CFTC.gov Commitments of Traders Reports Update
September 16, 2016--The current reports for the week of September 13, 2016 are now available.
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First Trust files with the SEC-First Trust CEF Income Opportunity ETF
September 16, 2016--First Trust has filed a pre-effective amendment no.1, registration statement with the SEC for the First Trust CEF Income Opportunity ETF.
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LocalShares files with the SEC
September 16, 2016--LocalShares has filed a post-effective amendment, registration statement with the SEC.
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SSGA files with the SEC
September 16, 2016--SSGA has filed a post-effective amendment, registration statement with the SEC for the
SPDR(R)MSCI EAFE Fossil Fuel Reserves Free ETF (EFAX)
SPDR(R) MSCI Emerging Markets Fossil Fuel Reserves Free ETF (EEMX).
read more
Treasury International Capital Data For July
September 16, 2016--The U.S. Department of the Treasury today released Treasury International Capital (TIC) data for July 2016. The next release, which will report on data for August 2016, is scheduled for October 18, 2016.
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iShares files with the SEC-iShares Edge MSCI Min Vol USA Small-Cap ETF
September 16, 2016--iSHares has filed a post-effective amendment, registration statement with the SEC. This filing relates solely to the iShares Edge MSCI Min Vol USA Small-Cap ETF.
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Renaissance Capital-US IPO Week Ahead: Year's most active week with 9 IPOs
September 16, 2016--Analyst IPO Market Commentary
Nine deals are on the IPO calendar for the week ahead, aiming to raise a combined $1.2 billion. Set to be the most active week of 2016, the wave of deals counts three founder-led high-growth software companies and a telecom equipment provider.
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iShares files with the SEC
September 16, 2016--iShares has filed a post-effective amendment, registration statement with the SEC.
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Exchange Traded Concepts to Close and Liquidate the CrowdInvest Wisdom ETF
September 16, 2016--After careful consideration, the Board of Trustees of Exchange Traded Concepts Trust has determined to close and liquidate the CrowdInvest Wisdom ETF (NYSE Arca: WIZE) (the "Fund").
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Exchange Traded Concepts files with the SEC
September 15, 2016--Exchange Traded Concepts has filed a post-effevtive amendment, registration statement with the SEC. This Post-Effective Amendment No. 180 relates to the ROBOTM Global Robotics and Automation Index ETF.
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Exchange Listed Funds files with the SEC
September 15, 2016--Exchange Listed Funds has filed a post-effective amendment, registration statement with the SEC. This Post-Effective Amendment No. 37 relates to the Gavekal Knowledge Leaders Emerging Markets ETF and Gavekal Knowledge Leaders Developed World ETF.
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Harvard Business School Report: Pessimism about the Future of the U.S. Economy Deepens; Political Dysfunction the Greatest Barrier to Strengthening U.S. Competitiveness
September 15, 2016--As political discourse confuses national discussion and candidates fail to put forth credible plans to improve U.S. economic growth and shared prosperity, Harvard's Michael E. Porter, Jan W. Rivkin, and Mihir A. Desai call for U.S. economic strategy involving business and government
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J.P. Morgan Asset Management Launches First Fixed Income ETF: JPHY
strategy takes advantage of potential opportunities in the high yield market
September 15, 2016--J.P. Morgan Asset Management announced that the JPMorgan Disciplined High Yield (JPHY) actively-managed ETF officially launched today for trading
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Nuveen Announces NuShares Enhanced Yield U.S. Aggregate Bond ETF; First Product Launched on Nuveens NuShares ETF Platform
September 15, 2016--Nuveen, an operating division of TIAA Global Asset Management, today announced that the NuShares Enhanced Yield U.S. Aggregate Bond ETF is now trading on the NYSE Arca under the symbol NUAG.
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H.R. 1550, Financial Stability Oversight Council Improvement Act of 2015
September 15, 2016--H.R. 1550 would require the Financial Stability Oversight Council (FSOC) to change the procedures by which it designates certain companies as systemically important financial institutions (SIFIs).
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IMF Working paper-Highways to Heaven: Infrastructure Determinants and Trends in Latin America and the Caribbean
September 15, 2016--Summary: Inadequate infrastructure has been widely viewed as a principal barrier to growth and development in Latin America and the Caribbean. This paper provides a comprehensive overview of infrastructure in the region and highlights key areas in which infrastructure networks can be enhanced.
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KCG Completes Acquisition of Neonet
September 15, 2016--KCG Holdings, Inc. (NYSE: KCG) ("KCG") today announced that it has completed the acquisition of Neonet Securities AB ("Neonet"), an independent agency broker and execution specialist based in Stockholm,Sweden.
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CBOE To Launch Options On FTSE Emerging Index
Market-Cap-Weighted Index Reflects Performance Of Large And Mid-Cap Companies
September 15, 2016--Chicago Board Options Exchange(R)(CBOE(R)) today announced that it plans to launch options on the FTSE Emerging Index on September 26, 2016.
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S-Network Hires Stephen H. Bitteker as Director of Sales
September 15, 2016--S-Network Global Indexes Inc., a New York-based index publisher, has hired Stephen H. Bitteker as Director of Sales.
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David B. Mazza-SPDR Blog-Investing for Impact: Why Consider Gender Diversity?
September 14, 2016--Discussions around the importance of portfolio diversification tend to revolve around ensuring diversity among asset classes.
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Deutsche AM expands ETF business with two US hires
September 14, 2016--Deutsche Asset Management has announced it has hired two portfolio managers for its ETF portfolio management division as the firm look to grow its passive business in the US.
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Guggenheim Investments Expands its Increasingly Popular BulletShares(R) Defined-Maturity ETF Product Suite
September 14, 2016--BulletShares 2026 Corporate Bond ETF (BSCQ) and Guggenheim BulletShares 2024 High Yield Corporate Bond ETF (BSJO) to provide investors with more choices for bond laddering strategies.
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AdvisorShares files with the SEC-AdvisorShares Focused Equity ETF
September 14, 2016--AdvisorShare has filed a post-effective amendment, registration statement with the SEC for the AdvisorShares Focused Equity ETF.
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IndexIQ files with the SEC
September 14, 2016--IndexIQ has filed a post-effective amendment, registration statement with the SEC.
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Elkhorn files with the SEC-Elkhorn Commodity Rotation Strategy ETF
September 14, 2016--Elkhorn has filed a post-effective amendment, registration statement with the SEC for the Elkhorn Commodity Rotation Strategy ETF.
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Elkhorn files with the SEC- Elkhorn Fundamental Commodity Strategy ETF
September 14, 2016--Elkhorn has filed a post-effective amendment, registration statement with the SEC for the Elkhorn Fundamental Commodity Strategy ETF.
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Van Eck files with the SEC
September 14, 2016--Van Eck has filed a post-effective amendment, registration statement with the SEC.
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Strategy Shares files with the SEC
September 14, 2016--Strategy Shares has filed a post-effective amendment, registration statement with the SEC.
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Betterment rebrands in bid to attract advisers
September 14, 2016--Robo-adviser launches new name and boosts investment choices to lure advisers to its digital platform
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CFTC.gov Swaps Report Update
September 14, 2016--CFTC's Weekly Swaps Report has been updated, and is now available.
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Nasdaq Included in Dow Jones Sustainability Index
September 14, 2016--Joins Nasdaq-Listed Companies including Adobe, Intel, and Starbucks
Nasdaq (Nasdaq:NDAQ) today announced it has been selected to join the Dow Jones Sustainability Indices (DJSI).
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J.P. Morgan Launches First Active ETF-JPMorgan Diversified Alternatives ETF: JPHF
Unique multi-strategy fund provides access to alternative strategies with low cost and liquidity
September 14, 2016--J.P. Morgan Asset Management today announced the launch of its first alternative and actively managed ETF, JPMorgan Diversified Alternatives ETF (JPHF).
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House panel okays Dodd-Frank revamp amid partisan rancor
September 13, 2016--A House of Representatives panel on Tuesday approved a proposal to revamp the Dodd-Frank Wall Street reform law, after a hearing where lawmakers verbally tussled over rules enacted in the aftermath of the 2007-09 financial crisis.
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Wave of new strategic beta ETFs make passive investing more complicated
But it's tough to know if the ETFs' investing rules produce superior returns
September 13, 2016--No one likes more rules-unless they're rolling out a new exchange-traded fund.
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BlackRock Canada Intends to Switch the Listing Venue of Certain iShares Funds from the TSX to NEO
September 13, 2016--NEO Exchange prepares to welcome 12 iShares ETF listings
Aequitas NEO Exchange Inc. ("NEO Exchange" or "NEO"), Canada's newest stock exchange, is pleased to announce that BlackRock Asset Management Canada Limited ("BlackRock Canada") has announced its intention to move the listing venue for certain iShares exchange-traded funds (ETFs) from the Toronto Stock Exchange (TSX) to NEO.
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Rafferty Asset Management Closing Three ETFs
September 13, 2016--The Board of Trustees of the Direxion Shares ETF Trust has decided to liquidate and close the Direxion Daily FTSE Developed Markets Bull 1.25X Shares (Ticker: LLDM), Direxion Daily FTSE Emerging Markets Bull 1.25X Shares (Ticker: LLEM) and the Direxion S&P 500(R)Volatility Response Shares (Ticker: VSPY) (each a "Fund" and collectively the "Funds") based on the recommendation of Rafferty Asset Management, LLC, the Trust's advisor.
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Flow Traders US LLC starts institutional trading in the United States after receiving its FINRA license
September 13, 2016--Flow Traders N.V. ("Flow Traders")(Euronext: FLOW) has received approval from the US Regulator FINRA to start its second broker-dealer in the United States for Flow Traders US Institutional Trading LLC.
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AlphaClone Unveils Small Cap and Value Manager Indexes
September 13, 2016--New Active Indexes Designed to Capture Potential Alpha from Hedge Funds' High Conviction Holdings.
AlphaClone, Inc. ("AlphaClone"), a pioneer in building accessible, alpha-seeking active indexes for long-term investors, today announces the launch of the AlphaClone Small Cap Index and AlphaClone Value Manager Index.
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Global X Launches 3 Thematic Technology ETFs: Robotics & AI, FinTech, and Internet of Things
September 13, 2016--Global X Funds, the New York-based provider of exchange-traded funds (ETFs), today launched the Global X FinTech Thematic ETF (Nasdaq: FINX), the Global X Robotics & Artificial Intelligence Thematic ETF (Nasdaq: BOTZ), and the Global X Internet of Things Thematic ETF (Nasdaq: SNSR).
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New: First Asset Share Buyback ETFs
September 13, 2016--First Asset Investment Management Inc. ("First Asset") is pleased to announce the launch of First Asset Canadian Buyback Index ETF (TSX: FBE) and First Asset U.S. Buyback Index ETF (TSX:FBU).
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Guggenheim files with the SEC-Guggenheim BulletShares 2026 Corporate Bond ETF
September 13, 2016--September 13, 2016--Guggenheim has filed a post-effective amendment, registration statement with the SEC for the Guggenheim BulletShares 2026 Corporate Bond ETF.
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Guggenheim files with the SEC-Guggenheim BulletShares 2024 High Yield Corporate Bond ETF
September 13, 2016--Guggenheim has filed a post-effective amendment, registration statement with the SEC for the Guggenheim BulletShares 2024 High Yield Corporate Bond ETF.
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First US Futures Commission Merchant to Accept Bitcoin via BitPay
September 12, 2016--Good new for Bitcoin and futures traders alike! Straits Financial LLC, announced today it will be the first U.S. based Futures Commission Merchant ("FCM") to indirectly utilize the services of bitcoin payment processor BitPay Inc. via a partnership with digital bank WB21 Ltd.
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Morgan Stanley-US ETF Weekly Update
September 12, 2016--Weekly Flows: $6.5 Billion Net Inflows
Tenth Consecutive Week of Net Inflows
YTD Net Inflows of $148.2 Billion
High-conviction ETF Recommendations Slide: No Changes
ETF Assets Stand at $2.4 Trillion, up 12% in 2016
Four ETF Launches Last Week
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Amplify files with the SEC-Amplify YieldShares Prime 5 Dividend ETF
September 12, 2016--Amplify has filed a post-effective amendment, registration statement with the SEC for the
Amplify YieldShares Prime 5 Dividend ETF.
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PowerShares files with the SEC
September 12, 2016--PowerShares has filed a post-effective amendment, registration statement with the SEC.
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Convergex ETF Direct Platform Executing Record Volume; Notional Value Surpasses $2.5 Billion Since Inception
September 12, 2016--Convergex, an agency-focused global brokerage and trading related services provider, announced today that its ETF Direct platform continues to experience significant volume growth while surpassing its own monthly volume records.
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SEC Chairwoman Mary Jo White says agency mulling fiduciary duty
September 12, 2016--September Staff recommendations on a potential rule to raise retail investment advice standards are being considered by commissioners, but a proposal is not imminent
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AdvisorShares-This Week in Active ETFs: Wait, so September is Back on the Table?
Weekly Market Review-Highlights of the Prior week
For the week of September 6, 2016 to September 9, 2016
September 12, 2016--Macro
The general sentiment after the jobs report on September 2nd was no hike from the FOMC in September. Fast forward a couple of days and we heard Boston Fed President Eric Rosengren get a little more hawkish and while he was not specific about September the market reacted like he meant September.<
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John Hancock Investments builds ETF product and sales team
September 12, 2016--Steve Deroian named head of ETF strategy; Michelle Fuller and Mac Lowry join as sales specialists.
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ETF Prism Report-Moving Towards Low Volatility: Which ETFs Make the Cut?
September 12, 2016--2016 has been more volatile without government stimulus. In response, many investors have moved into low volatility products and ETFs.
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Absolute Shares files with the SEC-WBI Power FactorTM High Dividend Shares
September 9, 2016--Absolute Shares has filed a post-effective amendment, registration statement for the WBI Power FactorTM High Dividend Shares.
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J.P. Morgan files with the SEC-JPMorgan Disciplined High Yield ETF
September 9, 2016--J.P. Morgan has filed a post-effective amendment, registration statement with the SEC for the JPMorgan Disciplined High Yield ETF.
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Elkhorn files with the SEC
September 9, 2016--Elkhorn has filed a post-effective amendment, registration statement with the SEC for the
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Deutsche Bank to Redeem Eight Exchange Traded Notes
September 9, 2016--Deutsche Bank announced today that it has elected to redeem the following DB exchange traded notes (ETNs):
DB 3x Long 25+ Year Treasury Bond ETN (ticker: LBND)
DB 3x Short 25+ Year Treasury Bond ETN (ticker: SBND)
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John Hancock files with the SEC
September 9, 2016--John Hancock has filed a post-effective amendment, registration statement with the SEC.
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Renaissance Capital's IPO Week Ahead: IPO market is back in session with 4 deals
September 9, 2016--After four weeks without a single IPO, the US IPO market is back from its annual August pause. Four deals are on the IPO calendar to raise $690 million in the week ahead, including:
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Deutsche Bank faces $2.4-bn US settlement
September 9, 2016--Deutsche Bank is expected to receive a demand for more than $2.4 billion from US authorities in settlement of an investigation into past misspelling of mortgage-backed securities, a German monthly magazine reported.
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ProShares to Remove Four ETFs from Bats Competitive Liquidity Program
September 9, 2016--ProShares announced today that it would remove four of its ETFs from the Bats Exchange Competitive Liquidity Providers (CLP) Program after market close on Sept. 30, 2016.
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CFTC.gov Commitments of Traders Reports Update
September 9, 2016--The current reports for the week of September 6, 2016 are now available.
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Provision to kill DOL fiduciary rule included in new bill to replace Dodd-Frank
September 9, 2016--Measure also contains requirement for SEC to conduct 'rigorous' cost-benefit analysis before proposing its own fiduciary-advice rule
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Bats ETF Marketplace Welcomes iShares ETF Tracking the MSCI USA Small Cap Minimum Volatility Index
Bats has won 26% of new 2016 listings vs 9% in 2015
September 9, 2016--Bats Global Markets, Inc. (Bats: BATS), the #1 U.S. market for exchange-traded fund (ETF) trading, today welcomed the iShares Edge MSCI Min Vol USA Small-Cap ETF (Bats: SMMV) to the Bats ETF Marketplace.
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Fed looks to clip banks' investment wings
September 8, 2016--Lobby groups denounce effort to stop institutions taking big equity stakes in non-financial companies
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Fidelity files with the SEC
September 8, 2016--Fidelity has filed a post-effective amendment, registration statement with the SEC.
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CBO-Monthly Budget Review for August 2016
September 8, 2016--The federal budget deficit was $622 billion for the first 11 months of fiscal year 2016, CBO estimates-$92 billion more than the shortfall recorded during the same period last year.
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Why Is CBO's Projection of GDP Growth Slower Than Past Rates of Growth?
September 8, 2016--Yesterday, we reviewed the economic forecast included in An Update to the Budget and Economic Outlook: 2016 to 2026, released by CBO on August 23.
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Goldman Sachs Asset Management Launches TreasuryAccess Exchange-Traded Fund
September 8, 2016--The Goldman Sachs TreasuryAccess 0-1 Year ETF (Ticker: GBIL) Offers Efficient Access to Short-term Treasuries by One of the Market's Fastest Growing ETF Providers
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VanEck Announces Changes to VanEck Vectors ETF Product Line
September 8, 2016--VanEck, one of the largest providers of exchange traded funds ("ETFs") in the U.S. and worldwide with more than $39 billion in assets under management as of July 31, 2016, announced today that it plans to close and liquidate two VanEck Vectors ETFs.
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VanEck Announces Changes to VanEck Vectors ETF Product Line
September 8, 2016-VanEck, one of the largest providers of exchange traded funds ("ETFs") in the U.S. and worldwide with more than $39 billion in assets under management as of July 31, 2016, announced today that it plans to close and liquidate two VanEck Vectors ETFs.
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Fidelity to Expand ETF Offerings With New Smart-Beta Lineup
September 8, 2016--Firm adding six factor-based funds based on its own indexes
Money managers embracing smart-beta strategies in growth push
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NYSE to implement new volatility procedures Monday
September 8, 2016--The New York Stock Exchange will implement changes Monday to its opening procedures as it seeks to speed up trading and make it more efficient even on volatile days.
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DOL fiduciary rule could cause half of potential IRA rollover assets to stay put: Report
September 8, 2016--More money expected to remain in employer-sponsored retirement plans instead of flowing into individual retirement accounts, Cerulli finds.
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Federal Reserve Board approves final policy statement detailing framework for setting Countercyclical Capital Buffer
September 8, 2016--The Federal Reserve Board on Thursday released a policy statement detailing the framework the Board will follow in setting the Countercyclical Capital Buffer (CCyB) for private-sector credit exposures located in the United States.
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Federal Reserve-Agencies Issue Study on Banking Activities and Investments
September 8, 2016--The Federal Reserve Board, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency today released a report to the Congress and the Financial Stability Oversight Council on the activities and investments that banking entities may engage in under applicable law.
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Federal Reserve asks Congress to limit Wall Street merchant banking
September 8, 2016--The Federal Reserve Board recommended that Congress pare back Wall Street's ability to own physical commodities and engage in other aspects of merchant banking because of possible risks to the financial system, according to a report issued on Thursday.
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Infographic-Visualizing the Size of the U.S. National Debt
September 8, 2016--When numbers get into the billions or trillions, they start to lose context.
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Merk Insight: Failure of Inflation Targeting?!
September 8, 2016--It ain't working. Eight years after the outbreak of the financial crisis, central bank chiefs suggest they have saved the world, but have they?
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PowerShares files with the SEC- PowerShares S&P International Developed High Dividend Low Volatility Portfolio
September 7, 2016--PowerShares has filed a post-effective amendment, registration statement with the SEC- PowerShares S&P International Developed High Dividend Low Volatility Portfolio.
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PowerShares files with the SEC-PowerShares S&P SmallCap High Dividend Low Volatility Portfolio
September 7, 2016--PowerShares has filed a post-effective amendment, registration statement with the SEC. post-effective amendment no. 552 under the Securities Act of 1933, as amended, relates to the registration of a new series of the Trust, named the PowerShares S&P SmallCap High Dividend Low Volatility Portfolio.
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IndexIQ files with the SEC
September 7, 2016--IndexIQ has filed a post-effective amendment, registration statement with the SEC.
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IndexIQ files with the SEC-IndexIQ Active ETF Trust
September 7, 2016--IndexIQ has filed a post-effective amendment, registration statement with the SEC-the IndexIQ Active ETF Trust.
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iShares files with the SEC- iShares iBonds Dec 2026 Term Corporate ETF
September 7, 2016--iShares has filled a post-effective amendment, registration statement with the SEC for the iBonds Dec 2026 Term Corporate ETF.
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CBO-Uncertainties in the Economic Outlook
September 7, 2016--On August 23, CBO published An Update to the Budget and Economic Outlook: 2016 to 2026, describing the agency's projections for the federal budget and the U.S. economy over the next 10 years.
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Survey: Advisors Fear Consequences of DOL Fiduciary Rule
September 7, 2016--The potential for "unlimited liability" under DOL rules is generating significant levels of anxiety among advisors, worry about being found liable for investment losses due to unintentional or unforeseeable events.
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Stradley Ronon-Exchange Traded Funds Alert, September 2016
SEC Approves Generic Listing Standards for Active ETFs
September 7, 2016--SUMMARY
On July 22, 2016, the U.S. Securities and Exchange Commission (SEC) approved amendments to listing rules proposed by NYSE Arca, Inc. (NYSE Arca)1 and Bats BZX Exchange, Inc. (BATS)2 to adopt generic listing standards for actively managed ETFs.3
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Mackenzie Investments enhances suite of Smart Beta ETFs and mutual funds
September 7, 2016--Broadening its suite of smart beta ETFs and mutual funds, Mackenzie Financial Corporation (Mackenzie Investments) announced today the launch of three Exchange Traded Funds (ETFs) and three new mutual fund products based on an award-winning investment process that offer investors enhanced diversification solutions.
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Amplify(R) ETFs Acquires YieldShares LLC
September 7, 2016--Shared Founder Christian Magoon Aligns Brands, Brings YieldShares High Income ETF (NYSEArca:YYY) to Amplify's Platform
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CFTC.gov Swaps Report Update
September 7, 2016--CFTC's Weekly Swaps Report has been updated. and is now available.
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Goldman Sachs Has Started Giving Away Its Most Valuable Software
September 7, 2016--The bank's new gambit: deploy its technology to win more business from clients
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Do retainers beat AUM-based fees under fiduciary rule?
September 7, 2016--New paper makes the case for advisers to charge clients flat fees versus fees based on assets given the approaching DOL regulation.
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Goldman files with the SEC
September 6, 2016--Goldman Sachs has filed a post-effective amendment, registration statement with the SEC for the Goldman Sachs TreasuryAccess 0-1 Year ETF.
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Pacer files with the SEC
September 6, 2016--Pacer has filed a post-effective amendment, registration statement with the SEC.
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MainStay Hires Ken Bossen for ETFs With Hedge Fund Approach
September 6, 2016--He will work with portfolio-construction teams for IndexIQ
Bossen joins from State Street, reports to John Lloyd
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AdvisorShares-This Week in Active ETFs: September is off the Table!
September 6, 2016--For the week of August 29-September 02
Macro-September is off the Table!That was the conclusion by some after the August jobs data which showed a not too hot, not too cold 151,000 jobs created last month versus an expectation of 180,000.
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BM&FBOVESPA becomes first exchange to join R3 distributed ledger consortium
September 6, 2016--São Paulo based financial exchange BM&FBOVESPA announced today it will be collaborating with over 60 of the world's largest financial institutions to develop ground-breaking commercial applications for the financial services industry that leverage the appropriate elements of distributed and shared ledger technology.
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U.S. regulators allow BlackRock funds to lend to one another
September 6, 2016--BlackRock Inc (BLK.N) portfolio managers will be allowed to borrow from their peers if they are pressed for money to cash out clients, U.S. Securities and Exchange Commission officials said in a notice on Tuesday
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Time to Worry: Stocks and Bonds Are Moving Together
September 6, 2016--Share prices and bond yields moved in the same direction in just 11 of the past 30 trading days, close to the lowest since the start of 2007
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ETF Managers files with the SEC
September 6, 2016--ETF Managers has filed a post-effective amendment, registration statement with the SEC.
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Exchange Listed Funds files with the SEC
September 6, 2016--Exchange Listed Funds has filed a post-effective amendment, registration statement with the SEC. This post-effective amendment No. 36 relates solely to the Horizons S&P 500(R) Covered Call ETF and Horizons S&P Energy Select Sector Covered Call ETF.
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Elkhorn files with the SEC
September 6, 2016--Elkhorn has filed a post-effective amendment, registration statement with the SEC for the Elkhorn Fundamental Commodity Strategy ETF (formerly "Elkhorn RAFI Commodity ETF").
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CME Group says average daily volume to date in 2016 up 9 pct
September 2, 2016--CME Group reached average daily volume of 13.8 million contracts per day in August 2016; average daily volume to date in 2016 up 9 percent
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PowerShares files with the SEC
September 2, 2016-PowerShares has filed a post-effective amendment, registration statement with the SEC-PowerShares Actively Managed Exchange-Traded Fund Trust.
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AltaVista-September 2016 ETF Analyzer--Sector SPDR Edition
September 2, 2016--The AltaVista-September 2016 ETF Analyzer--Sector SPDR Edition is now available.
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Exchange Traded Concepts files with the SEC
September 2, 2016--Exchange Traded Concepts has filed a post-effective amendment, registration statement with the SEC. This Post-Effective Amendment No. 35 relates to The WEAR ETF.
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Amplify files with the SEC-The Amplify YieldShares Prime 5 Dividend ETF
September 2, 2016--Amplify has filed a post-effective amendment, registration statement with the SEC for the
The Amplify YieldShares Prime 5 Dividend ETF.
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First Trust files with the SEC
September 2, 2016--First Trust has filed a post-effective amendment, registration statement with the SEC. This Registration Statement relates to the First Trust Nasdaq Bank ETF, First Trust Nasdaq Food & Beverage ETF, First Trust Nasdaq Oil & Gas ETF, First Trust Nasdaq Pharmaceuticals ETF, First Trust Nasdaq Retail ETF, First Trust Nasdaq Semiconductor ETF and First Trust Nasdaq Transportation ETF.
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CFTC.gov Commitments of Traders Reports Update
September 2, 2016--The current reports for the week of August 30, 2016 are now available.
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Advisers have a fiduciary duty to put robust business continuity plans in place
September 2, 2016--As fiduciaries, advisers have twin duties of loyalty and care to their clients
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Chart: The Rate of Change in U.S. Energy Consumption
September 2, 2016--Chart: The Rate of Change in U.S. Energy Consumption
This chart shows the winners and losers in energy sources used
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Columbia Threadneedle Investments Completes Acquisition of Emerging Global Advisors
September 1, 2016--Columbia Threadneedle Investments today announced that Columbia Management Investment Advisers, LLC has completed its acquisition of Emerging Global Advisors, LLC (EGA), a New York-based registered investment adviser and a leading provider of strategic beta emerging market portfolios.
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CBOE Holdings Reports August 2016 Trading Volume
Total ADV Down 13% from July 2016, 31% from Year Ago
September 1, 2016--CBOE Holdings, Inc. (NASDAQ: CBOE) reported today that August average daily volume (ADV) for options contracts traded on Chicago Board Options Exchange(R) (CBOE(R)) and C2 Options Exchange (C2), and futures contracts traded on CBOE Futures Exchange (CFE(R)) was 4.1 million contracts, a decrease of 13 percent from July 2016 and 31 percent from August 2015.
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RealityShares-The reality of dividend growth investing whitepaper
September 1, 2016--Accessing the future of dividend growth Investing in stocks likely to grow their dividends-dividend growth investing-can be a powerful tool for long-term investing.
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Toroso-ETF Prism Report Newsletter
Moving Towards Low Volatility: Which ETFs Make the Cut?
September 1, 2016--Toroso began 2016 with the premise that markets would be more volatile without government stimulus; which proved true so far and is likely to continue.
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Renaissance Capital's Fall 2016 US IPO Preview
September 1, 2016--Year-to-date, 59 IPOs have raised $9.8 billion, 56% fewer offerings than last year and the lowest level of IPO activity since 2009. Yet the IPO market appears ripe for a pickup in activity.
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OCC Cleared Contract Volume Down 24 Percent in August
September 1, 2016--Securities Lending CCP Activity Grew 35 Percent in August and 41 Percent Year-to-Date
OCC, the world's largest equity derivatives clearing organization, announced today that cleared contract volume in August was 331,447,840 contracts, down 24 percent from August 2015 record volume of 434,313,474 contracts.
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SEC steps up scrutiny of adviser use of social media
September 1, 2016--New rule to include site information on Form ADV part of evolving regulations on the web tool
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Deutsche Bank Announces Expected Delisting of DB Base Metals Long Exchange Traded Notes ("BDG')
September 1, 2016--Deutsche Bank today announced that it expects the staff of the New York Stock Exchange Arca (the "NYSE Arca") to commence proceedings to delist the DB Base Metals Long Exchange Traded Notes (the "ETN"; ticker "BDG") from the NYSE Arca, because the ETN has fallen below the NYSE Arca's continued listing standard requiring the ETN to maintain an aggregate market value of at least $400,000
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USCF promotes Andrew Ngim to COO and Kevin Baum to CIO
September 1, 2016-- USCF today announced two key promotions within the company's senior management team.
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Barclays announces reduction in investor fees on BCM ETNs
September 1, 2016--Notice regarding reduction in investor fees of the iPath(R) Pure Beta Broad Commodity Exchange Traded Notes
Barclays Bank PLC ("Barclays") today announced a reduction in the investor fee rate applicable to the iPath(R) Pure Beta Broad Commodity Exchange Traded Notes (the "ETNs").
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PureFunds ETFx HealthTech ETF Launches
August 31, 2016--IMED invests in highly innovative healthcare technology solution providers
)ETF Managers Group in partnership with PureFunds today debut their newest fund, the PureFunds ETFx HealthTech ETF (IMED).
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PureFunds Solactive FinTech ETF Launches on NASDAQ
August 31, 2016--FINQ Focuses on the Transformative FinTech Industry
ETF Managers Group in partnership with PureFunds today debuted their newest fund, the PureFunds Solactive FinTech ETF (FINQ).
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SEC scrutinizing more sellers of F-Squared portfolios based on bad performance
August 31, 2016--After charging 13 firms for using discredited marketing claims from the now-defunct investment adviser F-Squared, the Securities and Exchange Commission said it is looking more broadly at other companies that used a portfolio strategy for exchange-traded funds (ETFs) whose claims of market-beating results were based on false data.<
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Preliminary Annual Report On U.S. Holdings Of Foreign Securities At Year-End 2015
August 31, 2016--Preliminary data from an annual survey of U.S. portfolio holdings of foreign securities at year-end 2015 were released today and posted on the Treasury website.
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CFTC.gov Swaps Report Update
August 1, 2016--CFTC's Weekly Swaps Report has been updated, and is now available.
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SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings
August 31, 2016--The Securities and Exchange Commission today proposed rule and form amendments that would require registrants to include a hyperlink to exhibits in their filings.
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Fee Rate Advisory #1 for Fiscal Year 2017
August 31, 2016--The Securities and Exchange Commission today announced that in fiscal year 2017 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $115.90 per million dollars.
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Dilma Rousseff Is Ousted as Brazil's President in Impeachment Vote
August 31, 2016--The Senate on Wednesday impeached Dilma Rousseff, Brazil's first female president, and removed her from office for the rest of her term, the capstone of a power struggle that has consumed the nation for months and toppled one of the hemisphere's most powerful political parties.
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iShares files with the SEC-iShares Edge MSCI Min Vol USA Small-Cap ETF
August 31, 2016--iShares has filed a post-effective amendment, registration statement with the SEC for the
iShares Edge MSCI Min Vol USA Small-Cap ETF.
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Janus files with the SEC-Janus SG Global Quality Income ETF
August 31, 2016--Janus has filed a post-effective amendment, registration statement with the SEC for the Janus SG Global Quality Income ETF.
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Active Weighting Advisors files 2 applications with the SEC
August 31, 2016--Active Weighting Advisors has filed two applications for exemptive relief with the SEC.
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Global X files with the SEC
August 31, 2016--Global X has filed a second amended application for exemptive relief with the SEC.
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Select Sector SPDR files with the SEC
August 31, 2016--Select Sector SPDR(R) Trust has filed a post-effective amendment, registration statement with the SEC.
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IndexIQ files with the SEC
August 31, 2016--IndexIQ has filed a post-effective amendment, registration statement with the SEC
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Cambria files with the SEC
August 31, 2016--Cambria has filed a post-effective amendment, registration statement with the SEC for the
Cambria Global Income and Currency Strategies ETF
Cambria Shareholder Yield ETF
Cambria Foreign Shareholder Yield ETF
Cambria Emerging Shareholder Yield ETF
Cambria Sovereign High Yield Bond ETF
Cambria Global Value ETF
Cambria Global Momentum ETF
Cambria Value and Momentum ETF
Cambria Global Asset Allocation ETF.
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