ProShares files with the SEC-continued

March 2, 2012--ProShares has filed a post-effective amendment, registration statement with the SEC. This post-effective amendment relates only to ProShares UltraPro Financials, ProShares UltraPro Oil & Gas, ProShares UltraPro Short Financials, and ProShares UltraPro Short Oil & Gas, each a new series of ProShares Trust.
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Source: SEC.gov


American ETP News
ProShares files with the SEC
July 25, 2014--ProShares has filed a pre-effective amendment to form S-1 registration statement with the SEC.
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First Trust files with the SEC
July 25, 2014--First Trust has filed a post-effective amendment registration statement with the SEC for the First Trust International IPO ETF.
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iShares files with the SEC
July 25, 2014--iShares has filed a post-effective amendment, registration statement with the SEC for the iShares MSCI Emerging Markets Horizon ETF.
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DBX files with the SEC
July 25, 2014--DBX has filed a amended application for exemptive relief with the SEC.
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FlexShares files with the SEC
July 25, 2014--FlexShares has filed a first amended and restated application for exemptive relief with the SEC.
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First Trust files with the SEC
July 25, 2014--First Trust has filed a post-effective amendment, registration statement with the SEC for the First Trust Strategic Income ETF.
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ProShares files with the SEC
July 23, 2014--ProShares has filed a post-effective amendment, registration statement with the SEC.
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First Trust files with the SEC
July 2, 2014--First Trust has filed a post-effective amendment, registration statement with the SEC. This Registration Statement relates to First Trust Tactical High Yield ETF.
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Forum files with the SEC
July 22, 2014--Forum has filed a post-effective amendment, registration statement with the SEC for the The Merk Hard Currency ETF.
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AdvisorShares files with the SEC
July 22, 2014--AdvisorShares has filed a post-effective amendment with the SEC. This post-effective amendment No. 95 relates to the AdvisorShares Pacific Asset Enhanced Floating Rate ETF.
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USCF Advisers, LLC files with the SEC
July 22, 2014--USCF Advisers LLC has filed a post-effective amendment, registration statement with the SEC.
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State Street files with the SEC
July 21, 2014--State Street has filed a post-effective amendment, registration statement with the SEC.
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Dreyfus files with the SEC
July 18, 2014--Dreyfus has filed a amended application for exemptive relief with the SEC.
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Renaissance files with the SEC
July 18, 2014--Direxion has filed a post-effective amendment, registration statement with the SEC.
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JP Morgan files with the SEC
July 18, 2014--JP Morgan has filed a post-effective amendment, registration statement with the SEC for the JPMorgan Diversified Return U.S. Equity ETF.
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Exchange Traded Concepts files with the SEC
July 17, 2014--Exchange Traded Concepts has filed a application for exemptive relief with the SEC.
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iShares files with the SEC
July 17, 2014--iShares has filed a post-effective amendment, registration statement with the SEC.
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ETF Series Soulutions files with the SEC
July 17, 2014--ETF Series Solutions has filed a post-effective amendment, registration statement with the SEC for the Alphaclone Alternative Alpha ETF.
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Direxion files with the SEC
July 17, 2014--Direxion has filed a post-effective amendment, registration statement with the SEC.
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ETF Series Solutions files with the SEC-Validea Market Legends ETF
July 16, 2014--ETF Series Solutions has filed a post-effective amendment, registration statement with the SEC for the Validea Market Legends ETF.
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First Trust files with the SEC
July 16, 2014--First Trust has filed a post-effective amendment registration statement with the SEC for the First Trust Dorsey Wright International Focus 5 ETF.
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Calamos files with the SEC
July 16, 2014--Calamus has filed a post-effective amendment, registration statement with the SEC.
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Schwab files with the SEC
July 16, 2014--Schwab has filed a post-effective amendment, registration statement with the SEC.
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Alps files with the SEC
July 16, 2014--Alps has filed a post-effective amendment, registration statement with the SEC.
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Compass files with the SEC
July 16, 2014--Compass has filed a post-effective amendment, registration statement with the SEC.
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DBX files with the SEC
July 16, 2014--DBX has filed a post-effective amendment, registration statement with the SEC for the Deutsche X-trackers Harvest China Bond ETF.
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Horizons ETFs launches Canada's first Midstream Oil & Gas ETF
Canadian Midstream Oil & Gas ETF seeks to provide investors with lower volatility and high-yield exposure to Canada's energy sector
July 15, 2014--Horizons ETFs Management (Canada) Inc.("Horizons ETFs")is pleased to announce the launch of the Horizons Canadian Midstream Oil & Gas Index ETF ("HOG"), the first Canadian-listed ETF focused exclusively on Canada's midstream oil and gas sector.
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ETF Series Solutions files with the SEC
July 15, 2014--ETF Series Solutions has filed a post-effective amendment, registration statement with the SEC for the Vident Core U.S. Bond FundTM.
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Yellen defends loose Fed policy, says job market still too weak
July 15, 2014--Federal Reserve Chair Janet Yellen said U.S. labor markets are far from healthy and signaled the Fed will keep monetary policy loose until hiring and wage data show the effects of the financial crisis are "completely gone."
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Van Eck files with the SEC
July 15, 2014--Van Eck has filed a post-effective amendment, registration statement with the SEC for the Market Vectors ChinaAMC SME-ChiNext ETF.
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Dodd calls for one US prudential regulator
July 15, 2014--Chris Dodd, the former US senator responsible for the landmark Dodd-Frank financial reform bill, said the idea of paring down the number of banking regulators could come back to life now that the public had seen the complexity of having so many oversight agencies.
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Fed Eyes Banks' Commodity Activities
Some Say Companies Use Their Foothold in Market to Influence Supply Flows and Prices; Risk Also an Issue
July 14, 2014--The Federal Reserve took a small step toward developing potential new restrictions on bank's activities in physical-commodity markets such as aluminum and oil, but it stopped short of introducing new rules.
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Global X Funds Announces Index And Name Changes For Two ETFs
Colombia and Norway Funds to Begin Tracking MSCI Indexes Tomorrow
July 14, 2014--Global X Funds, the New York-based provider of exchange-traded funds (ETFs), announced that after the close of trading tomorrow the Global X FTSE Colombia 20 ETF (NYSE Arca: GXG) and the Global X FTSE Norway 30 ETF (NYSE Arca: NORW) will begin tracking MSCI Indexes.
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JP Morgan files with the SEC
July 14, 2014--JP Morgan has filed a post-effective amendment, registration statement with the SEC for the JPMorgan Diversified Return Emerging Markets Equity ETF.
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Fed sees October end for monthly bond buying
July 9, 2014--Federal Reserve officials are in broad agreement that they will likely announce an end to their monthly bond buying program in October, bringing to a close the third round of massive bond purchases the central bank has relied upon to boost economic growth following the Great Recession.
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iShares Introduces Two Global ETFs
July 11, 2014--BlackRock's (BLK) iShares unit, the world's largest issuer of exchange traded funds, expanded its already sizable lineup of U.S.-listed ETFs with the introduction of two new funds that are plays on investment themes that have been prominent this year.
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Canada's IIROC Publishes Guidance on Expansion of Circuit Breakers
July 11, 2014-In a move designed to continue to insulate the Canadian capital markets from any type of market structure snafu or problem, the nation's leading regulator is publishing extensive guidance on using single stock circuit breakers (SSCBs.)
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Trim Tabs files with the SEC
July 11, 2014--Trim Tabs has filed a amended and restated application for exmptive relief with the SEC.
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First Trust files with the SEC
July 11, 2014--First Trust has filed a post-effective amendment, registration statement with the SEC for the First Trust Tactical High Yield ETF.
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CFTC.gov Commitments of Traders Reports Update
July 11, 2014--The current reports for the week of July 8, 2014 are now available.
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Chicago Fed Calls for Curbs on High-Frequency Trading
June 10, 2014--The Federal Reserve Bank of Chicago entered the debate over whether financial markets are fair, proposing limits on high-frequency trading firms and incentives to bring more buying and selling into public view.
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Minutes Of The Federal Open Market Committee, June 17-18, 2014
July 10, 2014--Developments in Financial Markets and the Federal Reserve's Balance Sheet In a joint session of the Federal Open Market Committee (FOMC) and the Board of Governors of the Federal Reserve System, the deputy manager of the System Open Market Account (SOMA) reported on developments in domestic and foreign financial markets.
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Direxion files with the SEC
July 10, 2014--Direxion has filed a post-effective amendment, registration statement with the SEC.
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Barclays Offers ETN Wagering on Corporates With Female Leaders
July 9, 2014--Barclays Plc (BARC), the U.K.'s second--largest bank by assets, is selling an exchange-traded note tied to public companies with female executives, betting on demand for products that promote women in leadership.
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Blackstone Alternative Asset Management and Legg Mason Choose State Street to Service Liquid Alternative Funds
As Liquid Alternatives Grow in Popularity, Product Innovation Must be Matched by Education
July 9, 2014--State Street Corporation (NYSE: STT) today announced that it has been selected by Blackstone Alternative Asset Management (BAAM) and Legg Mason for liquid alternatives fund servicing. Liquid alternatives refer to alternative investment strategies that are available through investment vehicles such as mutual funds, ETFs or closed-end funds that provide daily, weekly or biweekly liquidity.
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First Trust files with the SEC
July 8, 2014--First Trust has filed a post-effective amendment, registration statement with the SEC for the First Trust Emerging Markets Local Currency Bond ETF.
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NASDAQ OMX Lists AdvisorShares Sunrise Global Multi-Strategy ETF (Symbol: MULT)
Alternative Multi-Strategy Actively Managed ETF to Begin Trading on July 9, 2014
July 8, 2014--NASDAQ OMX today announced that AdvisorShares, Bethesda, MD.-based sponsor of actively managed exchange traded funds (ETFs) will launch a new ETF on Wednesday, July 9, 2014.
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CBO-Monthly Budget Review for June 2014
July 8, 2014--The federal government ran a budget deficit of $366 billion for the first nine months of fiscal year 2014, CBO estimates-$144 billion less than the shortfall recorded over the same span last year.
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Vanguard launches five new ETFs on TSX
July 8, 2014--Vanguard Investments Canada Inc. announced today that five new Canada-domiciled exchange-traded funds (Vanguard ETFs(TM)) will begin trading this morning on Toronto Stock Exchange (TSX). The three equity and two bond ETFs bring to 21 the number of ETFs offered by the firm.
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Invesco PowerShares Announces Changes for Municipal Bond ETFs
July 8, 2014--Invesco PowerShares Capital Management LLC, a leading global provider of exchange-traded funds (ETFs), today announced that the Fund name, underlying index, investment objective, certain fundamental and non-fundamental investment policies and principal investment strategies changed for its three PowerShares Municipal Bond ETFs.
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Morgan Stanley-US ETF Weekly Update
July 7, 2014--US ETF Weekly Update
Weekly Flows: $79 Million Net Inflows
8th Consecutive Week of ETF Net Inflows
ETFs Have Generated Net Inflows 20 of 27 Weeks YTD
ETF Assets Stand at $1.9 Trillion, Up 10% YTD
Three ETF Launches Last Week
BlackRock Announces Name and Ticker Changes
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BNY Mellon ADR Index Monthly Performance Update-June 2014
July 7, 2014--The BNY Mellon ADR Index Monthly Performance-June 2014 Update has been published and is now available for review.
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ETF assets reach new high in Canada
July 7, 2014--Exchange-traded funds and products (ETFs and ETPs) in Canada reached a new high in June with total assets of US$65.7 billion, according to the latest data from research firm ETFGI.
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iShares files with the SEC-iShares Currency Hedged MSCI Emerging Markets ETF
July 7, 2014--iShares has filed a post-effective amendment, registration statement with the SEC. This filing relates solely to the following Fund: iShares Currency Hedged MSCI Emerging Markets ETF.
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CFTC.gov Commitments of Traders Reports Update
July 7, 2014--The current reports for the week of July 1, 2014 are now available.
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iShares files with the SEC
July 7, 2014--iShares has filed a post-effective amendment, registration statement with the SEC. This filing relates solely to the following Fund: iShares Currency Hedged MSCI EMU ETF
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SEC Filing-SSGA ACTIVE ETF TRUST
July 7, 2014--State Street has filed a post-effective amendment no. 23, registration statement with the SEC.
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SEC Filing-SPDR(R) SERIES TRUST
July 7, 2014--State Street has filed a post-effective amendment no. 123, registration statement with the SEC.
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SEC Filing-SPDR Index Shares Funds
July 7, 2014--State Street has filed a post-effective amendment no. 73, registration statement with the SEC.
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Seif Aims to Top Claymore's $7.5 Billion in Assets
July 4, 2014--Som Seif built Claymore Investments Inc. into an exchange-traded fund powerhouse in Canada with C$8 billion ($7.5 billion) in assets before selling it to BlackRock Inc. (BLK) He says his encore will be even bigger.
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IndexIQ files with the SEC-IQ Private Equity Tracker ETF
July 3, 2014--IndexIQ has filed a post-effective amendment, registration statement with the SEC for the IQ Private Equity Tracker ETF.
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IndexIQ files with the SEC
July 3, 2014--IndexIQ has filed a post-effective amendment, registration statement with the SEC for the IQ Hedge Long/Short Tracker ETF (QLS)
IQ Hedge Event-Driven Tracker ETF (QED).
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Market Vectors files with the SEC
July 3, 2014--Market Vectors has filed a post-effective amendment, registration statement with the SEC for the Market Vectors [China Bond] ETF.
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Reality Shares files with the SEC
July 3, 2014--Reality Shares has filed a pre-effective amendment, registration statement with the SEC for the Reality Shares ETF Trust.
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Schwab files with the SEC
July 2, 2014--Schwab has filed a post-effective amendment, registration statement with the SEC for the Schwab TargetDuration ETFs.
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Global X files with the SEC
July 2, 2014--Global X has filed a post-effective amendment, registration statement with the SEC for the Global X GF China Bond ETF.
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OFR Working paper-Shadow Banking:The Money View
July 2, 2014--Abstract
This paper presents an accounting framework for measuring the sources and uses of short-term funding in the global financial ecosystem. We introduce a dynamic map of global funding flows to show how dealer banks emerged as intermediaries between two types of asset managers: cash pools searching for safety via collateralized cash investments and levered portfolio managers searching for yield via funded securities portfolios and derivatives
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Winklevoss files with the SEC
July 1, 2014--Winklevoss has filed a amendment no. 4 to Form S-1 registration statement with the SEC for the Winklevoss Bitcoin Trust.
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Certain ProShares Commodity ETFs Change Fund and Index Names
July 1, 2014--On or about July 1, 2014, the DJ-UBS commodity indexes will become the Bloomberg Commodity Index family.
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Compass EMP Lists Three New ETFs on The NASDAQ Stock Market
CFA, CFO and CDC, to Begin Trading on July 2nd, 2014
July 1, 2014--NASDAQ OMX today announced that Compass EMP will list three new exchange traded funds (ETFs) on Wednesday, July 2nd, 2014. Compass EMP U.S. 500 Volatility Weighted Index ETF (Symbol:CFA), Compass EMP U.S. 500 Enhanced Volatility Weighted Index ETF (Symbol:CFO) and Compass EMP U.S. EQ Income 100 Enhanced Volatility Weighted Fund (Symbol:CDC), will list on The NASDAQ Stock Market(R) (NASDAQ(R)).
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CFTC Staff Extends Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants from Compliance with Reporting Obligations
July 1, 2014--The U.S. Commodity Futures Trading Commission's (Commission) Division of Market Oversight (Division) recently issued a no-action letter extending until June 30, 2015
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ALPS|Sterling ETF Tactical Rotation Fund Launches with Goal of Delivering Upside Participation with Reduced Volatility
Unique Investment Approach Seeks to Combine Global Asset Allocation, Cash, and High Conviction
July 1, 2014--ALPS, a DST Company focused on asset servicing and asset gathering, today announced the launch of the ALPS Sterling ETF Tactical Rotation Fund, a new fund that attempts to provide investors lower volatility, downside mitigation and better upside participation.
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Schwab Says ETFs Gaining More Retirement Assets
June 30, 2014--The latest Charles Schwab Self-Directed Brokerage Account (SDBA) Indicators report shows more self-directed investors are allocating retirement asset to exchange traded funds.
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First Trust Launches Actively Managed Short Duration High Yield Bond ETF
June 30, 2014--New ETF Provides Currency Hedged and Duration Managed Exposure to High Yield Corporate Bond Market
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Guggenheim files with the SEC
June 27, 2014--Guggenheim has filed a post-effective amendment, registration statement with the SEC.
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Guggenheim files with the SEC
June 27, 2014--Guggenheim has filed a post-effective amendment, registration statement with the SEC for the Guggenheim Emerging Market Real Estate ETF.
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Global X files with the SEC
June 27, 2014--Global X has filed a post-effective amendment, registration statement with the SEC for the Global X | JPMorgan Efficiente Index ETF.
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USCF files with the SEC
June 27, 2014--USCF Advisers LLC has filed a pre-effective amendment, registration statement with the SEC.
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Compass files with the SEC
June 27, 2014--Compass has filed a post-effective amendment, registration statement with the SEC.
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KraneShares files with the SEC
June 26, 2014--KraneShres has filed a post-effective amendment, registration statement with the SEC. This post-effective amendment No. 53 relates to the KraneShares E Fund China Commercial Paper Hedged ETF.
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iShares Announces Index Change to iShares 10+ Year Credit Bond ETFs
June 26, 2014--iShares announced today that the iShares 10+ Year Credit Bond ETF (NYSEArca:CLY) will change its index effective June 30, 2014.
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CFTC's Division of Clearing and Risk Issues No-Action Letter for Korea Exchange, Inc.
June 26, 2014--The U.S. Commodity Futures Trading Commission's (Commission) Division of Clearing and Risk (DCR) today issued a time-limited no-action letter stating that DCR will not recommend that the Commission take enforcement action against Korea Exchange, Inc. (KRX)
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