Vanguard Specialized Funds files with the SEC-continued

June 18, 2019-Vanguard Specialized Funds has filed a post-effective amendment, registration statement with the SEC.
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Source: SEC.gov


American ETP News
Exchange Listed Funds Trust files with the SEC-QRAFT AI-Enhanced U.S. High Dividend ETF
September 13, 2019--Exchange Listed Funds Trust has filed a post-effective amendment, registration statement with the SEC for the QRAFT AI-Enhanced U.S. High Dividend ETF.
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Counterpoint Mutual Funds, LLC files with the SEC
September 13, 2019--Counterpoint Mutual Funds, LLC has filed an application for exemptive relief with the SEC.
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iShares Trust files with the SEC
September 13, 2019--iShares has filed a post-effective amendment, registration statement with the SEC.
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ETF Series Solutions files with the SEC
September 13, 2019--ETF Series Solutions has filed a post-effective amendment, registration statement with the SEC.
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Direxion Shares ETF Trust files with the SEC
September 13, 2019--Direxion Shares ETF Trust has filed a post-effective amendment, registration statement with the SEC.
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IndexIQ files with the SEC
September 12, 2019--IndexIQ ETF Trust has filed a post-effective amendment, registration statement with the SEC.
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IndexIQ Active ETF Trust files with the SEC
September 12, 2019-IndexIQ Active ETF Trust has filed a post-effective amendment, registration statement with the SEC.
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Listed Funds Trust files with the SEC-Source Dividend Opportunity ETF
September 12, 2019--Listed Funds Trust has filed a post-effective amendment, registration statement with the SEC for the Source Dividend Opportunity ETF.
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US Bank Dials Back Growth Forecasts
September 12, 2019--To reflect the upcoming adoption of new accounting standards as well as lower interest rates, U.S. Bancorp cut its growth outlook in the long term. Multiple large U.S. banks have decreased their targets with an economic environment that is changing, the Financial Times reported.
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iShares files with the SEC-2 ETFs
September 12, 2019--iShares has filed a post-effective amendment, registration statement with the SEC for the
iShares Asia/Pacific Dividend ETF
iShares Emerging Markets Dividend ETF.
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ETF Series Solutions files with the SEC-Defiance Next Gen ETFs
September 11, 2019--ETF Series Solutions has filed a post-effective amendment, registration statement ith the SEC for the Defiance Next Gen Food & Agriculture ETF
Defiance Next Gen Medical Innovation ETF.
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Krane Shares Trust files with the SEC-KFA Dynamic Fixed Income ETF
September 11, 2019--Krane Shares Trust has filed a post-effective amendment, registration statement with the SEC for the KFA Dynamic Fixed Income ETF.
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Innovator ETFs Trust files with the SEC-3 Innovator S&P 500 ETFs
September 11, 2019--Innovator ETFs Trust has filed a post-effective amendment, registration statement with the SEC for the Innovator S&P 500 Buffer ETFTM-December, Innovator S&P 500 Power Buffer ETFTM-December and Innovator S&P 500 Ultra Buffer ETFTM-December.
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Bitwise Bitcoin ETF Trust files with the SEC
September 11, 2019--Bitwise Bitcoin ETF Trust has filed a Amendment No. 3 to Form S-1 registration statement with the SEC.
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Global X Funds files with the SEC-Global X Video Games & Esports ETF
September 11, 2019--Global X has filed a post-effective amendment, registration statement with the SEC for the
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J.P. Morgan Exchange-Traded Fund Trust files with the SEC-JPMorgan High Yield Research Enhanced ETF
September 11, 2019--J.P. Morgan Exchange-Traded Fund Trust has filed a post-effective amendment, registration statement with the SEC for the JPMorgan High Yield Research Enhanced ETF (formerly JPMorgan Disciplined High Yield ETF).
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WisdomTree files with the SEC-WisdomTree Cloud Computing Fund
September 11, 2019--WisdomTree Trust has filed a post-effective amendment, registration statement with the SEC for WisdomTree Cloud Computing Fund .
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Strategy Shares files with the SEC-2 Strategy Shares ETFs
September 11, 2019--Strategy Shares has filed a post-effective amendment, registration statement with the SEC for the Strategy Shares US Market Rotation Strategy ETF
Strategy Shares EcoLogical Strategy ETF.
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Strategy Shares files with the SEC-Strategy Shares Nasdaq 7 HANDL(TM) Index ETF
September 11, 2019--Strategy Shares has filed a post-effective amendment, registration statement with the SEC for the Strategy Shares Nasdaq 7 HANDL(TM) Index ETF .
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Invesco Exchange-Traded Self-Indexed Fund Trust files with the SEC-2 Invesco BulletShares ETFs
September 10, 2019--Invesco Exchange-Traded Self-Indexed Fund Trust has filed a post-effective amendment, registration statement with the SEC for the Invesco BulletShares 2029 Corporate Bond ETF
Invesco BulletShares 2027 High Yield Corporate Bond ETF.
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Bitwise Bitcoin ETF Trust files with the SEC
September 10, 2019--Bitwise Bitcoin ETF Trust has filed a Amendment No. 2 to Form S-1 has with the SEC.
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ETF Series Solutions files with the SEC-Nationwide Risk-Managed Income ETF
September 9, 2019--ETF Series Solutions has filed a post-effective amendment, registration statement with the SEC for the Nationwide Risk-Managed Income ETF.
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Pacer Funds Trust files with the SEC- Pacer International Export Leaders ETF
September 9, 2019--Pacer Funds Trust has filed a post-effective amendment, registration statement with the SEC for the Pacer International Export Leaders ETF.
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Franklin Templeton ETF Trust files with the SEC-Franklin Liberty U.S. Core Bond ETF
September 9, 2019--Franklin Templeton ETF Trust has filed a post-effective amendment, registration statement with the SEC for the Franklin Liberty U.S. Core Bond ETF.
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Seven U.S. states, District of Columbia sue to block SEC rule change
September 9, 2019--Seven U.S. states and the District of Columbia on Monday sued to block rules adopted by the Securities and Exchange Commission (SEC) that would allow brokers to recommend products that benefit them as long as they disclose the conflict.
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ARK Industrial ETF Morphing Into Autonomous Tech, Robotics ETF
September 9, 2019--The ARK Industrial Innovation ETF, an actively managed exchange traded sponsored by ARK Investment Management, is changing its name to "ARK Autonomous Technology & Robotics ETF."
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CBO-Monthly Budget Review for August 2019
September 9, 2019--The federal budget deficit was $1,067 billion for the first 11 months of fiscal year 2019, the Congressional Budget Office estimates-$168 billion more than the deficit recorded during the same period last year. Revenues were $102 billion higher and outlays were $271 billion higher than in the same period in fiscal year 2018.
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JP Morgan has created an index to track the effect of Trump's tweets on financial markets: 'Volfefe index'
September 8, 2019--Trump's market-moving tweets most often address trade and monetary policy, with keywords including "China," "billion' and "products."
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Big US sustainable funds fail to support ESG shareholder proposals
September 7, 2019--2During the 2019 shareholder voting season, funds labelled by BlackRock, JPMorgan Asset Management and Vanguard as sustainable frequently sided with a company's management and against shareholder proposals on issues ranging from political spending to diversity disclosures, according to new reports filed with the US...
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Unified Series Trust files with the SEC-Absolute Core Strategy ETF
September 6, 2019--Unified Series Trust has filed a post-effective amendment, registration statement with the SEC for the Absolute Core Strategy ETF.
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Direxion Shares ETF Trust files with the SEC-PortfolioPlus S&P(R) Composite 1500 ETF
September 6, 2019--Direxion Shares ETF Trust has filed a post-effective amendment, registration statement with the SEC for the PortfolioPlus S&P(R) Composite 1500 ETF.
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Northern Lights Fund Trust III files with the SEC-2 HCM Defender ETFs
September 6, 2019--Northern Lights Fund Trust III has filed a post-effective amendment, registration statement with the SEC for the
HCM Defender 100 Index ETF
HCM Defender 500 Index ETF.
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Esoterica Thematic ETF Trust files with the SEC-Esoterica NextG Economy ETF
September 5, 2019--Esoterica Thematic ETF Trust has filed a Form N-1A registration statement with the SEC for the Esoterica NextG Economy ETF.
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BrightStone ETF Trust files with the SEC-BrightStone Li-Fi Technology Opportunities ETF
September 4, 2019--BrightStone ETF Trust has filed a Form N-A registration statement with the SEC for the BrightStone Li-Fi Technology Opportunities ETF.
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J.P. Morgan Exchange-Traded Fund Trust files with the SEC-JPMorgan High Yield Research Enhanced ETF
September 4, 2019--J.P. Morgan Exchange-Traded Fund Trust has filed a post-effective amendment, registration statement with the SEC for the JPMorgan High Yield Research Enhanced ETF.
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Invesco Exchange-Traded Self-Indexed Fund Trust files with the SEC-2 Invesco BulletShares ETFs
September 4, 2019--Invesco Exchange-Traded Self-Indexed Fund Trust has filed a post-effective amendment, registration statement with the SEC for the
Invesco BulletShares 2029 Corporate Bond ETF
Invesco BulletShares 2027 High Yield Corporate Bond ETF.
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Beige Book
September 4, 2019--Overall Economic Activity
On balance, reports from Federal Reserve Districts suggested that the economy expanded at a modest pace through the end of August. Although concerns regarding tariffs and trade policy uncertainty continued, the majority of businesses remained optimistic about the near-term outlook. Reports on consumer spending were mixed, although auto sales for most Districts grew at a modest pace.
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Two Roads Shared Trust files with the SEC-Anfield U.S. Equity Sector Rotation ETF & Anfield Tactical Fixed Income ETF
September 3, 2019--Two Roads Shared Trust has filed a post-effective amendment, registration statement with the SEC for the
Anfield U.S. Equity Sector Rotation ETF
Anfield Tactical Fixed Income ETF.
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Innovator ETFs Trust files with the SEC-3 Innovator S&P 500 ETFs
September 3, 2019--Innovator ETFs Trust has filed a post-effective amendment, registration statement with the SEC for the Innovator S&P 500 Buffer ETFTM-September, Innovator S&P 500 Power Buffer ETFTM-September and Innovator S&P 500 Ultra Buffer ETFTM-September
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Global X Funds files with the SEC-Global X Cannabis ETF
September 3, 2019--Global X Funds has filed a post-effective amendment, registration statement with the SEC for the Global X Cannabis ETF.
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VanEck, SolidX to Offer Bitcoin ETF-Like Product to Institutions
September 3, 2019--While the U.S. Securities and Exchange Commission (SEC) has so far blocked a number of proposed bitcoin ETFs, two firms aim to launch a more limited option this week.
Announced Tuesday, VanEck Securities and SolidX Management-which have previously had a decision on their proposed bitcoin ETF postponed by the SEC-revealed they are taking an unusual route to bypass the regulatory hurdles.
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BrightStone Global LLC files with the SEC
August 30, 2029--BrightStone Global LLC has filed an application for exemptive relief with the SEC-actively managed ETFs.
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BrightStone Global LLC files with the SEC
August 30, 2019--BrightStone Global LLC has filed an application for exemptive relief with the SEC.
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Exchange Listed Funds Trust files with the SEC-High Yield ETF
August 30, 2019--Exchange Listed Funds Trust has filed a post-effective amendment, registration statement with the SEC for the High Yield ETF.
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IndexIQ Active ETF Trust files with the SEC-3 IQ MacKay Municipal ETFs
August 29, 2019--IndexIQ Active ETF Trust has filed a post-effective amendment, registration statement with the SEC for the
IQ MacKay Municipal Insured ETF
IQ MacKay Municipal Short Duration ETF
IQ MacKay Municipal Intermediate ETF.
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IndexIQ ETF Trust files with the SEC
August 29, 2019--IndexIQ ETF Trust has filed a post-effective amendment, registration statement with the SEC.
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American Century ETF Trust files with the SEC
August 29, 2019--American Century ETF Trust has filed a post-effective amendment, registration statement with the SEC.
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WisdomTree files with the SEC-WisdomTree Cloud Computing Fund
August 29, 2019--WisdomTree Trust has filed a post-effective amendment, registration statement with the SEC for the WisdomTree Cloud Computing Fund.
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Principal Exchange-Traded Funds files with the SEC
August 29, 2019--Principal Exchange-Traded Funds has filed a post-effective amendment, registration statement with the SEC for the WisdomTree Cloud Computing Fund.
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SSGA Active Trust files with the SEC-SPDR Blackstone / GSO Senior Loan ETF
August 29, 2019--SSGA Active Trust has filed a post-effective amendment, registration statement with the SEC for the SPDR Blackstone / GSO Senior Loan ETF.
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SPDR(R) Series Trust files with the SEC
August 29, 2019--SPDR(R) Series Trust has filed a post-effective amendment, registration statement with the SEC.
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CBO-Budgetary Outcomes Under Alternative Assumptions About Fiscal Policy
August 29, 2019--Summary
CBO regularly publishes baseline budget projections that show how federal spending, revenues, and deficits would look if current laws governing spending and taxes generally remained unchanged. Those projections are not intended to be a forecast of budgetary outcomes; rather, they are meant to provide a benchmark that policymakers can use to assess the potential effects of policy decisions.
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CFTC.gov Swaps Report Update
August 28, 2019--CFTC's Weekly Swaps Report has been updated, and is now available.
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AdvisorShares files with the SEC-2 ETFs
August 28, 2019--AdvisorShares has filed a post-effective amendment, registration statement with the SEC for the
AdvisorShares FolioBeyond Smart Core Bond ETF
AdvisorShares DoubleLine Value Equity ETF.
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Sprott ETF Trust files with the SEC
August 28, 2019--Sprott ETF Trust has filed a post-effective amendment, registration statement with the SEC for the
Sprott Gold Miners ETF
Sprott Junior Gold Miners ETF.
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Strategy Shares files with the SEC
August 28, 2019--Strategy Shares has filed a post-effective amendment, registration statement with the SEC for the
Strategy Shares US Market Rotation Strategy ETF
Strategy Shares EcoLogical Strategy ETF.
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Strategy Shares files with the SEC- Strategy Shares Nasdaq 7 HANDL(TM) Index ETF
August 28, 2019--Strategy Shares has filed a post-effective amendment, registration statement with the SEC for the Strategy Shares Nasdaq 7 HANDL(TM) Index ETF.
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Pacer Funds Trust files with the SEC
August 28, 2019--Pacer Funds Trust has filed a post-effective amendment, registration statement with the SEC.
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Exchange Traded Concepts Trust files with the SEC-ROBO Global(R) Robotics and Automation Index ETF
August 28, 2019--Exchange Traded Concepts Trust has filed a post-effective amendment, registration statement with the SEC for the ROBO Global(R) Robotics and Automation Index ETF.
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Exchange Listed Funds Trust files with the SEC-Knowledge Leaders Developed World ETF
August 28, 2019--Exchange Listed Funds Trust has filed a post-effective amendment, registration statement with the SEC for the Knowledge Leaders Developed World ETF.
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Ordinary savers should be allowed to invest in private equity
August 27, 2019--SEC should ease restrictions and permit retail clients to use funds of funds.
Despite all the attention that is paid to the ups and downs of the big stock indices, private markets are where much of the action is.
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Innovator Announces Upside Cap Ranges for September Series of S&P 500 Buffer ETFs(TM)
August 27, 2019--The only ETFs that provide S&P 500 exposure up to a cap, with downside buffer levels of 9%, 15%, or 30% over a one-year Outcome Period
Innovator's Defined Outcome ETFsTM are the subject of a patent application filed with the U.S. Patent and Trademark Office.
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U.S. yield inversion deepens, stokes recession fears
August 27, 2019--The U.S. yield curve inversion deepened on Tuesday to levels not seen since 2007, rekindling fears of a looming recession that spurred a sell-off on Wall Street and stoked even more safe-haven demand for government bonds.
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WisdomTreet files with the SEC-2 Multifactor ETFs
August 27, 2019--WisdomTree Trust has filed a post-effective amendment, registration statement with the SEC for he
Europe Multifactor Fund (formerly, Dynamic Currency Hedged Europe Equity Fund)(EUMF)
Japan Multifactor Fund (formerly, Dynamic Currency Hedged Japan Equity Fund) (JAMF).
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Cambria ETF Trust files with the SEC
August 27, 2019--Cambria ETF Trust has filed a post-effective amendment, registration statement with the SEC.
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Cambria ETF Trust files with the SEC
August 27, 2019-Cambria ETF Trust has filed a post-efective amendment, registration statement for the
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Invesco Exchange-Traded Fund Trust files with the SEC
August 27, 2019--Invesco Exchange-Traded Fund Trust has filed a post-effective amendment, registration statement with the SEC.
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Natixis ETF Trust II files with the SEC- Sixth Amended and Restated Application for exemptive relief
August 26, 2019--Natixis ETF Trust II has filed a Sixth Amended and Restated Application for exemptive relief with the SEC-actively managed ETFs.
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PIMCO ETF Trust files with the SEC-PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund
August 26, 2019-PIMCO ETF Trusthas filed apost-effective amendment, registration statement with the SEC for the PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund.
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PIMCO Equity Series files with the SEC- PIMCO RAFI ESG U.S. ETF
August 26, 2019--PIMCO Equity Series has filed a post-effective amendmnet, registration statement with the SEC for the PIMCO RAFI ESG U.S. ETF.
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ETF Series Solutions files with the SEC-AAM Low Duration Preferred and Income Securities ETF
August 26, 2019--ETF Series Solutions has filed a post-effective amendment, registration statement with the SEC for the AAM Low Duration Preferred and Income Securities ETF (PFLD).
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Impact Shares Trust I files with the SEC- NACP, WOMN and SDGA
August 23, 2019--Impact Shares Trust I has filed a post effective amendment, registration statement with the SEC for the Impact Shares NAACP Minority Empowerment ETF
Impact Shares YWCA Women's Empowerment ETF
Impact Shares Sustainable Development Goals Global Equity ETF.
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Listed Funds Trust files with the SEC-Core Alternative ETF
August 23, 2019--Listed Funds Trust has filed a post-effective amendment, registration statement with the SEC for the Core Alternative ETF.
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Metaurus Advisors LLC files with the SEC-actively managed ETFs
August 23, 2019--Metaurus Advisors LLC has filed an Amendment no. 1 to an application for exemptive relief with the SEC-actively managed ETFs.
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Fee Rate Advisory #1 for Fiscal Year 2020
August 23, 2019---The Securities and Exchange Commission today announced that in fiscal year 2020 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $129.80 per million dollars.
Background
The securities laws require the Commission to make annual adjustments to the rates for fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934.
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CBO's Updated Economic Forecast for the 2019-2029 Period
August 23, 2019--On Wednesday, the Congressional Budget Office released An Update to the Budget and Economic Outlook: 2019 to 2029. The report contains CBO's latest economic forecast, which reflects recent economic developments and incorporates changes in federal fiscal and trade policies.
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iShares, Inc. files with the SEC
August 22, 2019--iShares, Inc. has filed a post-efeective amendment, registration statement with the SEC for the
iShares Asia/Pacific Dividend ETF
iShares Emerging Markets Dividend ETF.
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iShares Trust files with the SEC
August 22, 2019--iShares, Inc. has filed a post-efeective amendment, registration statement with the SEC.
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Fears grow that softer Volcker rule will stoke Wall Street risk
August 22, 2019--While Wall Street has long lobbied against the legislation, which it sees as imposing an unnecessary compliance burden, supporters of the original rule fear the overhaul is a step in the wrong direction.
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Minutes of the Federal Open Market Committee, July 30-31, 2019
August 21, 2019--The Federal Reserve Board and the Federal Open Market Committee on Wednesday released the attached minutes of the Committee meeting held on July 30-31- 2019.
August 20, 2019--Information received since the Federal Open Market Committee met in June indicates that the labor market remains strong and that economic activity has been rising at a moderate rate.
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ETF Series Solutions files with the SEC-US Vegan Climate ETF
August 21, 2019--ETF Series Solutions has filed a post-effective amendment, registration statement with the SEC for the US Vegan Climate ETF.
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US farmers have high hopes for hemp crops
August 21, 2019--Demand for cannabidiol could see the market expand to $20bn in 5 years
Trade wars have crushed US grain sales. Tobacco is in terminal decline. However,, for farmers in Kentucky the future may lie in a crop of the...
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WisdomTree files with the SEC
August 20, 2019--WisdomTree has filed a post-effective amendment, registration statement with the SEC.
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First Trust Exchange-Traded Fund IV files with the SEC-First Trust EIP Carbon Impact ETF
August 20, 2019--First Trust Exchange-Traded Fund IV has filed a post-effective amendment, registration statement with the SEC for the First Trust EIP Carbon Impact ETF.
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Mexico-Systematic Country Diagnostic
August 20, 2019--The development process in Mexico has been partly framed by a set of defining characteristics as well as by significant economic reforms during recent decades.
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First Trust Launches the First Trust EIP Carbon Impact ETF
August 20, 2019--August 20, 2019--An actively managed ETF that offers impactful investing with exposure to companies that may have a role in mitigating climate change.
First Trust Advisors L.P. ("First Trust") a leading exchange-traded fund ("ETF") provider and asset manager, announced today that it has launched the First Trust EIP Carbon Impact ETF (NYSE Arca: ECLN) (the "fund").
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Tidal ETF Trust files with the SEC-RPAR Risk Parity ETF
August 19, 2019--Tidal ETF Trust has filed a post-effective amendment, registration statement with the SEC for the RPAR Risk Parity ETF.
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AdvisorShares Trust files with the SEC-AdvisorShares Pure US Cannabis ETF
August 19, 2019--AdvisorShares Trust has filed a post-effective amendment, registration statement with the SEC for the
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Stock whiplash spurs worst run of ETF withdrawals in 6 months
August 19, 2019--A volatile few months for global stock markets is taking its toll on exchange-traded funds.
Almost US$18 billion fled U.S.-listed equity ETFs during the past three weeks, the most since February, according to data compiled by Bloomberg Intelligence.
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OSI ETF Trust files with the SEC
August 19, 2019--OSI ETF Trust has filed an application for exemptive relief with the SEC.
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USCF Announces Fee Reduction On Their Exchange Traded Funds (Tickers: SDCI, BUY, BUYN)
August 16, 2019--USCF announced today that it implemented fee waivers for all three of its exchange-traded funds (ETFs) effective August 15, 2019: the USCF SummerHaven Dynamic Commodity Strategy No K-1 Fund (SDCI), the USCF SummerHaven SHPEI Index Fund (BUY) and the USCF SummerHaven SHPEN Index Fund (BUYN).
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Goldman Sachs ETF Trust files with the SEC-6 Goldman Sachs Access ETFs
August 16, 2019--Goldman Sachs ETF Trust has filed a post-effective amendment, registration statement with the SEC for the
Goldman Sachs Access U.S. Aggregate Bond ETF
Goldman Sachs Access China Bonds ETF
Goldman Sachs Access Investment Grade Corporate 1-5 Year Bond ETF
Goldman Sachs Access Investment Grade Corporate 10+ Year Bond ETF
Goldman Sachs Access Total Bond Market ETF
Goldman Sachs Access U.S. Treasury Total Market Bond ETF.
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KraneShares files with the SEC
August 16, 2019--KraneShares has filed a post-effective amendment, registration statement with the SEC.
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Bakkt Says It's 'Cleared to Launch' Bitcoin Futures Next Month
August 16, 2019--Bakkt has been "cleared to launch."
The Intercontinental Exchange's young subsidiary announced Friday that it had acquired a New York state trust charter through the New York State Department of Financial Services (NYDFS).
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