OSI ETF Trust files with the SEC-8 O'Shares ETFs-continued

October 28, 2019--OSI ETF Trust has filed a post-effective amendment registration statement with the SEC for eight O'Shares ETFs.
view filing
Source: SEC.gov


American ETP News
Nuns take on BlackRock over climate change
December 14, 2019--Sisters of Mercy of the Americas add voice to those of Al Gore and other critics of the $7tn fund manager
A group of Catholic nuns has taken aim at BlackRock's record on climate change, adding their voice to a growing chorus including Al Gore that claim the world's biggest fund manager is not doing enough to tackle global warming.
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Legg Mason ETF Investment Trust files with the SEC-Legg Mason Small-Cap Quality Value ETF and Western Asset Short Duration Income ETF
December 13, 2019--Legg Mason ETF Investment Trust has filed a post-effective amendment, registration statement with the SEC for the Legg Mason Small-Cap Quality Value ETF and Western Asset Short Duration Income ETF.
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Listed Funds Trust files with the SEC-Core Alternative ETF
December 13, 2019--Listed Funds Trust has filed a post-effective amendment, registration statement with the SEC for the Core Alternative ETF.
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ETF Series Solutions files with the SEC-5 Nationwide ETFs
December 13, 2019--ETF Series Solutions has filed a post-effective amendment, registration statement with the SEC for the
Nationwide Risk-Based U.S. Equity ETF
Nationwide Risk-Based International Equity ETF
Nationwide Maximum Diversification U.S. Core Equity ETF
Nationwide Maximum Diversification Emerging Markets Core Equity ETF
Nationwide Maximum Diversification International Core Equity ETF.
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Invesco Actively Managed Exchange-Traded Fund Trust files with the SEC-3 Invesco Bond Factor ETFs
December 13, 2019--Invesco Actively Managed Exchange-Traded Fund Trust has filed a post-effective amendment, registration statement with the SEC for the
Invesco Intermediate Bond Factor ETF
Invesco Multi-Sector Bond Income Factor ETF
Invesco Short-Term Bond Factor ETF.
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Invesco Actively Managed Exchange-Traded Fund Trust files with the SEC-2 Bond Factor Bond ETFs
December 13, 2019--Invesco Actively Managed Exchange-Traded Fund Trust has filed a post-effective amendment, registration statement with the SEC for the
Invesco Corporate Bond Factor ETF
Invesco High Yield Bond Factor ETF.
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Northern Lights Fund Trust files with the SEC-Agility Shares Dynamic Tactical Income ETF
December 13, 2019--Northern Lights Fund Trust has filed a post-effective amendment, registration statement with the SEC for the Agility Shares Dynamic Tactical Income ETF.
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Northern Lights Fund Trust files with the SEC-Agility Shares Managed Risk Equity ETF
December 13, 2019--Northern Lights Fund Trust has filed a post-effective amendment, registration statement with the SEC for the Agility Shares Managed Risk Equity ETF.
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Listed Funds Trust files with the SEC-TrueMark AI & Deep Learning ETF & TrueMark ESG Active Opportunities ETF
December 13, 2019--Listed Funds Trust has filed a post-effective amendment, registration statement with the SEC for the TrueMark AI & Deep Learning ETF
TrueMark ESG Active Opportunities ETF.
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iShares files with the SEC-iShares Factors US Blend Style ETF
December 13, 2019--iShares Trust has filed a post-effective amendment, registration statement with the SEC for the iShares Factors US Blend Style ETF.
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iShares files with the SEC-iShares Factors US Mid Blend Style ETF
December 13, 2019--iShares Trust has filed a post-effective amendment, registration statement with the SEC for the iShares Factors US Mid Blend Style ETF.
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Innovator ETFs Trust files with the SEC-3 Innovator S&P 500 ETFs
December 13, 2019--Innovator ETFs Trust has filed a post-effective amendment, registration statement with the SEC for the Innovator S&P 500 Buffer ETFTM-March, Innovator S&P 500 Power Buffer ETFTM-March and Innovator S&P 500 Ultra Buffer ETFTM-March.
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Innovator ETFs Trust files with the SEC-MSCI EAFE Power Buffer ETFTM-March, Innovator MSCI Emerging Markets Power Buffer ETFTM-March and Innovator Russell 2000 Power Buffer ETFTM-March
December 13, 2019--Innovator ETFs Trust has filed a post-effective amendment, registration statement with the SEC for the MSCI EAFE Power Buffer ETFTM-March, Innovator MSCI Emerging Markets Power Buffer ETFTM-March and Innovator Russell 2000 Power Buffer ETFTM-March.
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Innovator ETFs Trust files with the SEC-Innovator Nasdaq-100 Power Buffer ETFTM-March
December 13, 2019--Innovator ETFs Trust has filed a post-effective amendment, registration statement with the SEC for the Innovator Nasdaq-100 Power Buffer ETFTM-March.
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iShares Trust files with the SEC-iShares Factors US Small Blend Style ETF
December 13, 2019--iShares Trust has filed a post-effective amendment, registration statement with the SEC for the iShares Factors US Small Blend Style ETF.
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TrimTabs ETF Trust files with the SEC-2 TrimTabs All Cap ETFs
December 12, 2019--TrimTabs ETF Trust has filed a post-effective amendment, registration statement with the SEC for the
TrimTabs All Cap U.S. Free-Cash-Flow ETF
TrimTabs All Cap International Free-Cash-Flow ETF.
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Pacific Global ETF Trust files with the SEC-Pacific Global Senior Loan ETF
December 12, 2019--Pacific Global ETF Trust has filed a post-effective amendment, registration statement with the SEC for the Pacific Global Senior Loan ETF.
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Natixis ETF Trust II files with the SEC-Natixis_ETF
December 12, 2019--Natixis ETF Trust II has filed a registration statement with the SEC for the Natixis_ETF.
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The U.S. Securities and Exchange Commission Approves Exemptive Relief to Permit Blue Tractor Group's Shielded AlphaSM ETF Structure
December 11, 2019--A Shielded AlphaSM ETF confers to active managers the ability to manage their ETF creation basket to generate additional alpha
Blue Tractor Group, LLC ("Blue Tractor") is pleased to announce that the U.S. Securities and Exchange Commission ("SEC") has approved the exemptive relief necessary to permit Blue Tractor's Shielded AlphaSM exchange-traded fund ("ETF") structure.
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American Century ETF Trust files with the SEC
December 11, 2019--American Century ETF Trust has filed an application for exemptive relief with the SEC.
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Two Roads Shared Trust files with the SEC- Anfield Universal Fixed Income ETF
December 11, 2019--Two Roads Shared Trust has filed a post-effective amendment, registration statement with the SEC for the Anfield Universal Fixed Income ETF.
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Nushares ETF Trust files with the SEC-3 Nuveen ETFs
December 11, 2019--Nushares ETF Trust has filed a post-effective amendment, registration statement with the SEC for the Nuveen Enhanced Yield U.S. Aggregate Bond ETF, Nuveen Enhanced Yield 155 Year U.S. Aggregate Bond ETF and Nuveen ESG U.S. Aggregate Bond ETF.
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Pacer Funds Trust files with the SEC-Pacer American Energy Independence ETF
December 11, 2019--Pacer Funds Trust has filed a post-effective amendment, registration statement with the SEC for the Pacer American Energy Independence ETF.
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Exchange Traded Concepts Trust files with the SEC-North Shore Global Uranium Mining ETF
December 11, 2019--Exchange Traded Concepts Trust has filed a post-effective amendment, registration statement with the SEC for the North Shore Global Uranium Mining ETF.
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Arrow Investments Trust files with the SEC
December 11, 2019--Arrow Investments Trust has filed a post-effective amendment, registration statement with the SEC.
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T. Rowe Price Exchange-Traded Funds, Inc files with the SEC-4 ETFs
December 11, 2019--T. Rowe Price Exchange-Traded Funds, Inc has filed a registration statement with the SEC for the
T. Rowe Price Blue Chip Growth ETF
T. Rowe Price Dividend Growth ETF
T. Rowe Price Equity Income ETF
T. Rowe Price Growth Stock ETF.
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American Century ETF Trust files with the SEC
December 10, 2019--American Century ETF Trust has filed an application for exemptive relief with the SEC.
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Ark ETF Trust files with the SEC
December 10, 2019--Ark ETF Trust has filed a post-effective amendment, registration statement with the SEC.
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Procure ETF Trust I files with the SEC-LGBTQ + ESG100 ETF
December 10, 2019--Procure ETF Trust I has filed a pre-effective amendment, registration statement with the SEC for the LGBTQ + ESG100 ETF.
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Global Beta ETF Trust files with the SEC-Global Beta Smart Income ETF
December 10, 2019--Global Beta ETF Trust has filed a pre-effective amendment, registration statement with the SEC for the Global Beta Smart Income ETF.
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Krane Shares Trust files with the SEC-KFA Dynamic Fixed Income ETF
December 9, 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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VanEck Vectors ETF Trust files with the SEC-VanEck Vectors Energy Income ETF
December 9, 2019--VanEck Vectors ETF Trust has filed a post-effective amendment, registration statement with the SEC for the VanEck Vectors Energy Income ETF.
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CBO-Monthly Budget Review for November 2019
December 8, 2019--The federal budget deficit was $342 billion for the first two months of fiscal year 2020, CBO estimates, $36 billion more than the deficit recorded during the same period last year. Revenues and outlays were higher-by 3 percent and 6 percent, respectively-than in October and November 2018.
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Latin America's fund market tipped to double by 2025
December 8, 2019--Competition for region's growing assets expected to lead to fee reduction
Latin America's asset management industry is set to double by 2025, driven by the growing wealth and size of the region's middle class, as well...
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NYSE direct listings proposal rejected by SEC
December 6, 2019--Decision delivers blow to efforts to expand the flotation procedure.
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ETF Series Solutions files with the SEC- Change Finance U.S. Large Cap Fossil Fuel Free ETF
December 6, 2019--ETF Series Solutions has filed a post-effective amendment, registration statement with the SEC for the Change Finance U.S. Large Cap Fossil Fuel Free ETF.
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Tidal ETF Trust files with the SEC-RPAR Risk Parity ETF
December 6, 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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Two Roads Shared Trust files with the SEC-2 Anfield ETFs
December 6, 2019--Two Roads Shared Trust has filed a post-effective amendment, registration statement with the SEC for the
Anfield Tactical Fixed Income ETF
Anfield U.S. Equity Sector Rotation ETF.
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Manager Directed Portfolios files with the SEC-iM DBi Hedge Strategy ETF
December 6, 2019--Manager Directed Portfolios has filed a post-effective amendment, registration statement with the SEC for the iM DBi Hedge Strategy ETF.
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Franklin Templeton ETF Trust files with the SEC-Franklin Liberty Systematic Style Premia ETF
December 6, 2019--Franklin Templeton ETF Trust has filed a post-effective amendment, registration statement with the SEC for the Franklin Liberty Systematic Style Premia ETF.
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Hartford Funds Exchange-Traded Trust files with the SEC-Hartford Core Bond ETF
December 6, 2019--Hartford Core Bond ETF has filed a post-effective amendment, registration statement with the SEC for the Hartford Core Bond ETF.
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Northern Lights Fund Trust IV files with the SEC-Sage ESG Intermediate Credit ETF
December 5, 2019--Northern Lights Fund Trust IV has filed a post-effective amendment, registration statement with the SEC for the Sage ESG Intermediate Credit ETF.
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J.P. Morgan Asset Management Launches BetaBuilders International Equity ETF: BBIN
December 5, 2019--J.P. Morgan Asset Management today announced the launch of the JPMorgan BetaBuilders International Equity ETF (BBIN), providing investors with liquid, low-cost access to Developed International equities ex-North America.
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BNY Mellon ETF Trust files with the SEC-
December 4, 2019--BNY Mellon ETF Trust has filed a Pre-Effective Amendment No. 1. registration statement with the SEC for the
BNY Mellon US Large Cap Core Equity ETF
BNY Mellon US Mid Cap Core Equity ETF
BNY Mellon US Small Cap Core Equity ETF
BNY Mellon International Equity ETF
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Syntax ETF Trust files with the SEC-Syntax Stratified U.S. Equities ETF
December 4, 2019--Syntax ETF Trust has filed a post-effective amendment, registration statement with the SEC for the Syntax Stratified U.S. Equities ETF.
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ETF Series Solutions files with the SEC-Nationwide Risk-Managed Income ETF
December 4, 2019--ETF Series Solutions has filed a post-efective amendment, registration statement with the SEC for the Nationwide Risk-Managed Income ETF.
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First Trust Exchange-Traded Fund VIII files with the SEC
December 4, 2019--First Trust Exchange-Traded Fund VIII has filed a post-efective amendment, registration statement with the SEC. This Registration Statement relates to the First Trust Active Factor Large Cap ETF, First Trust Active Factor Mid Cap ETF and First Trust Active Factor Small Cap ETF.
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Exchange Traded Concepts Launches Uranium Mining ETF
December 4, 2019--Exchange Traded Concepts, LLC, ("ETC"), a leader in providing white label Exchange Traded Fund (ETF) solutions, in conjunction with North Shore Indices, Inc., today announced that it has launched the North Shore Global Uranium Mining ETF (NYSE ARCA: URNM).
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First Trust Expands its ETF Lineup with Active Factor ETFs
December 4, 2019--ETFs that deploy a systematic, active strategy targeting four main factor exposures
First Trust Advisors L.P. ("First Trust") a leading exchange-traded fund ("ETF") provider and asset manager, announced today that it has launched three actively managed ETFs: the First Trust Active Factor Large Cap ETF (NYSE Arca: AFLG), the First Trust Active Factor Mid Cap ETF (NYSE Arca: AFMC) and the First Trust Active Factor Small Cap ETF (NYSE Arca: AFSM) (collectively, "the funds").
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Fidelity's head of $2.8tn asset management arm to retire
December 3, 2019--The head of Fidelity's $2.8tn asset management division is retiring from the Boston investment group after just a year in the job, to be replaced.
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First Trust Exchange-Traded Fund III files with the SEC
December 3, 2019--First Trust Exchange-Traded Fund III has filed a post-efective amendment, registration statement with the SEC. This Registration Statement relates to First Trust Municipal High Income ETF, First Trust Horizon Managed Volatility Developed International ETF, First Trust Horizon Managed Volatility Domestic ETF, First Trust California Municipal High Income ETF, First Trust Ultra Short Duration Municipal ETF and First Trust Short Duration Managed Municipal ETF.
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First Trust Exchange-Traded AlphaDEX(R) Fund files with the SEC
December 3, 2019--December 3, 2019--First Trust Exchange-Traded AlphaDEX(R) Fund has filed a post-efective amendment, registration statement with the SEC. This Registration Statement relates to First Trust Consumer Discretionary AlphaDEX(R) Fund, First Trust Consumer Staples AlphaDEX(R) Fund, First Trust Energy AlphaDEX(R) Fund, First Trust Financials AlphaDEX(R) Fund,
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iShares Trust files with the SEC-iShares U.S. Tech Breakthrough Multisector ETF
December 3, 2019--iShares Trust has filed a post-efective amendment, registration statement with the SEC for the iShares U.S. Tech Breakthrough Multisector ETF.
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J.P. Morgan Exchange-Traded Fund Trust files with the SEC-JPMorgan BetaBuilders International Equity ETF
December 2, 2019--J.P. Morgan Exchange-Traded Fund Trust has filed a post-effective amendment, registration statement with the SEC for the JPMorgan BetaBuilders International Equity ETF.
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iShares U.S. ETF Trust files with the SEC- iShares Commodities Select Strategy ETF
December 2, 2019--iShares U.S. ETF Trust has filed a post-effective amendment, registration statement with the SEC for the iShares Commodities Select Strategy ETF.
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Northern Lights Fund Trust IV files with the SEC-Sage ESG Intermediate Credit ETF
November 29, 2019--Northern Lights Fund Trust IV has filed a post-effective amendment, registration statement with the SEC for the Sage ESG Intermediate Credit ETF.
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Guinness Atkinson Asset Management, Inc., files with the SEC
November 29, 2019--Guinness Atkinson Asset Management, Inc. has filed a =n application for exemptive relief with the SEC.
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Innovator ETFs Trust files with the SEC-3 Innovator S&P 500
November 29, 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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SPDR Index Shares Funds files with the SEC
November 27, 2019--SPDR Index Shares Funds(Formerly streetTRACKS Index Shares Funds) has filed a post-effective amendment, registration statement with the SEC.
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Hartford Funds Exchange-Traded Trust files with the SEC-4 ETFs
November 27, 2019--Hartford Funds Exchange-Traded Trust has filed a post-effective amendment, registration statement with the SEC for the
Hartford Municipal Opportunities ETF
Hartford Short Duration ETF
Hartford Schroders Tax-Aware Bond ETF
Hartford Total Return Bond ETF.
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ETF Series Solutions files with the SEC-Change Finance U.S. Large Cap Fossil Fuel Free ETF
November 27, 2019--ETF Series Solutions has filed a post-effective, registration statement with the SEC for the Change Finance U.S. Large Cap Fossil Fuel Free ETF.
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TrimTabs ETF Trust files with the SEC-2 TrimTabs All Cap ETFs
November 27, 2019--TrimTabs ETF Trust has filed a post-effective amendment, registration statement with the SEC for the
TrimTabs All Cap International Free-Cash-Flow ETF
TrimTabs All Cap U.S. Free-Cash-Flow ETF.
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First Trust Exchange-Traded Fund III files with the SEC
November 27, 2019--First Trust Exchange-Traded Fund III has filed a post-effective amendment, registration statement with the SEC.
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First Trust Exchange-Traded AlphaDEX(R) Fund files with the SEC
November 27, 2019--First Trust Exchange-Traded AlphaDEX(R) Fund has filed a post-effective amendment, registration statement with the SEC.
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Exchange Traded Concepts Trust files with the SEC-North Shore Global Uranium Mining ETF
November 27, 2019--Exchange Traded Concepts Trust has filed a post-effective amendment, registration statement with the SEC for the North Shore Global Uranium Mining ETF.
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Arrow Investments Trust files with the SEC
November 27, 2019--Arrow Investments Trust has filed a post-effective amendment, registration statement with the SEC.
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Ark ETF Trust files with the SEC
November 26, 2019--Ark ETF Trust has filed a post-effective amendment, registration statement with the SEC.
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ETF Series Solutions files with the SEC-AAM Low Duration Preferred and Income Securities ETF
November 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.
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First Trust Exchange-Traded Fund VIII files with the SEC-3 First Trust Active Factor ETFs
November 26, 2019--First Trust Exchange-Traded Fund VIII has filed a post-effective amendment, registration statement with the SEC for the
First Trust Active Factor Large Cap ETF
First Trust Active Factor Mid Cap ETF
First Trust Active Factor Small Cap ETF.
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BlackRock ETF Trust files with the SEC-BlackRock U.S. Equity Factor Rotation ETF
November 26, 2019--BlackRock ETF Trust has filed a post-effective amendment, registration statement with the SEC for the BlackRock U.S. Equity Factor Rotation ETF.
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Virtus ETF Trust II files with the SEC-2 ETFs
November 26, 2019--Virtus ETF Trust II has filed a post-effective amendment, registration statement with the SEC for the
Virtus Newfleet Dynamic Credit ETF
Virtus Seix Senior Loan ETF.
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ETFis Series Trust I files with the SEC-Virtus Reaves Utilities ETF
November 26, 2019--ETFis Series Trust I has filed a post-effective amendment, registration statement with the SEC for the Virtus Reaves Utilities ETF.
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Two Roads Shared Trust files with the SEC- Anfield Universal Fixed Income ETF
November 26, 2019--Two Roads Shared Trust has filed a post-effective amendment, registration statement with the SEC for the Anfield Universal Fixed Income ETF.
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What the Charles Schwab-TD Ameritrade acquisition means
November 26, 2019--In our capitalist system, the supposed purposes of financial markets are twofold: To coordinate resources, getting them to their most productive economic uses, and to provide corporate governance via the votes that come with stock ownership. By trading assets and pursuing personal profit, investors on financial markets are supposed to power both goals.
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Charles Schwab to Buy TD Ameritrade as Free Trading Takes Over
November 25, 2019--The merger would create a brokerage giant with roughly $5 trillion in assets as the industry copes with zero commissions on stock trades.
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Exchange Listed Funds Trust files with the SEC-3 Armor ETFs
October 25, 2019-Exchange Listed Funds Trust has filed a post-effective amendment, registration statement with the SEC for the
Armor US Equity Index ETF
Armor International Equity Index ETF
Armor Emerging Markets Equity Index ETF.
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Krane Shares Trust files with the SEC-KFA Dynamic Fixed Income ETF
November 25, 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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Mexican Economy Stagnated in Third Quarter
November 25, 2019--Economy widely expected to show little or no growth in all of 2019
Mexico's economic activity was flat in the third quarter following three quarters of negative output, putting the economy on track for its worst yearly performance in a decade.
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U.S. securities regulator proposes new rules on use of derivatives in exchange traded funds
November 25, 2019--The U.S. securities regulator on Monday proposed new regulations for the use of derivatives by investment funds to introduce some safeguards for more risky products and increase competition.
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Legg Mason ETF Investment Trust files with the SEC-Legg Mason Small-Cap Quality Value ETF and Western Asset Short Duration Income ETF.
November 22, 2019--Legg Mason ETF Investment Trust has filed a post-effective amendment, registration statement with the SEC for the
Legg Mason Small-Cap Quality Value ETF
Western Asset Short Duration Income ETF.
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Tidal ETF Trust files with the SEC-RPAR Risk Parity ETF
November 22, 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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VanEck Vectors ETF Trust files with the SEC-VanEck Vectors Energy Income ETF
November 22, 2019--VanEck Vectors ETF Trust has filed a post-effective amendment, registration statement with the SEC for the VanEck Vectors Energy Income ETF.
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New Age Alpha Trust files with the SEC-10 New Age Alpha ETFs
November 22, 2019--New Age Alpha Trust has filed a post-effective amendment, registration statement with the SEC for the
New Age Alpha U.S. Large-Cap Leading ETF
New Age Alpha U.S. Large-Cap Low Vol ETF
New Age Alpha U.S. Small-Cap Leading ETF
New Age Alpha U.S. Small-Cap Low Vol ETF
New Age Alpha Europe Ex-UK Leading ETF
New Age Alpha Europe Ex-UK Low Vol ETF
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J.P. Morgan Exchange-Traded Fund Trust files with the SEC-JPMorgan BetaBuilders International Equity ETF
November 22, 2019--J.P. Morgan Exchange-Traded Fund Trust has filed a post-effective amendment, registration statement with the SEC for the
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ETF Series Solutions files with the SEC- Nationwide Risk-Managed Income ETF
November 22, 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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iShares U.S. ETF Trust files with the SEC
November 22, 2019--iShares U.S. ETF Trust has filed a post-effective amendment, registration statement with the SEC.
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iShares Trust files with the SEC
November 22, 2019--iShares Trust has filed a post-effective amendment, registration statement with the SEC.
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U.S. Dollar Increasingly Strong Against the Euro
November 22, 2019--After going through a bit of soft phase at the beginning of 2018, the U.S. dollar has gained quite a bit of value opposite the Euro. Most recently, US$1 was buying 0.9 Euros.
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Innovator ETFs Trust files with the SEC-Innovator S&P 500 Buffer ETFTM-December
November 22, 2019--Innovator ETFs Trust has filed a post-effective amendment, registration statement with the SEC for the Innovator S&P 500 Buffer ETFTM- December.
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Jim Ross, SPDR Chairman and ETF Innovator, to Retire
November 21, 2019--State Street Global Advisors, the asset management business of State Street Corporation (NYSE: STT), announced today that Jim Ross, chairman, Global SPDR, will be retiring from the firm at the end of March 2020 after a distinguished 27-year career.
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First Trust Exchange-Traded Fund VIII files with the SEC-FT Cboe Vest U.S. Equity Buffer ETF-February
November 21, 2019--First Trust Exchange-Traded Fund VIII has filed a post-effective amendment, registration statement with the SEC for the FT Cboe Vest U.S. Equity Buffer ETF-February.
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First Trust Exchange-Traded Fund VIII files with the SEC-FT Cboe Vest U.S. Equity Deep Buffer ETF-February
November 21, 2019--First Trust Exchange-Traded Fund VIII has filed a post-effective amendment, registration statement with the SEC for the FT Cboe Vest U.S. Equity Deep Buffer ETF-February.
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Nushares ETF Trust files with the SEC-3 Nuveen ETFs
November 21, 2019--Nushares ETF Trust has filed a post-effective amendment, registration statement with the SEC for the
Nuveen Enhanced Yield U.S. Aggregate Bond ETF
Nuveen Enhanced Yield 1-5 Year U.S. Aggregate Bond ETF
Nuveen ESG U.S. Aggregate Bond ETF.
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Charles Schwab in advanced talks to buy TD Ameritrade: source
November 21, 2019--Charles Schwab Corp (SCHW.N) is in advanced talks to acquire TD Ameritrade Holding Corp (AMTD.O), a person familiar with the matter said on Thursday, in a deal that could exceed $26 billion and combine the two largest U.S. discount brokerages.
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US Federal Reserve assessing central bank digital currency
October 21, 2019--Yesterday, the head of the US Federal Reserve Jerome Powell responded to a letter from two Congressmen on central bank digital currencies (CBDCs). He confirmed that the Reserve has analyzed whether a digital currency makes sense for the US and that it has been considering several options.
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SSGA Active Trust files with the SEC
November 20, 2019--SSGA Active Trust has filed a post-effective amendment, registration statement with the SEC.
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SPDR Series Trust files with the SEC
November 20, 2019--SPDR Series Trust has filed a post-effective amendment, registration statement with the SEC.
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Guinness Atkinson Funds files with the SEC-SmartETFs Smart Transportation & Technology ETF
November 20, 2019--Guinness Atkinson Funds has filed a post-effective amendment, registration statement with the SEC for the SmartETFs Smart Transportation & Technology ETF.
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CBO-H.R. 4329, ESG Disclosure Simplification Act of 2019
November 20, 2019--Summary
H.R. 4329 would require the Securities and Exchange Commission (SEC) to issue rules that define environmental, social, and governance (ESG) metrics and require publicly traded companies to disclose their views about those metrics to their shareholders and the SEC annually. The SEC also would be required to establish a permanent advisory committee, composed of up to 20 members, to advise the agency on sustainable finance issues.
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Minutes of the Federal Open Market Committee, October 29-30, 2019
November 20, 2019--Information received since the Federal Open Market Committee met in September indicates that the labor market remains strong and that economic activity has been rising at a moderate rate.
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The U.S. Securities and Exchange Commission Issues Notice of Intention to Permit Blue Tractor Group's Shielded AlphaSM ETF Structure
November 20, 2019--Shielded AlphaSM structure is 180 degrees differentiated from Precidian's non-transparent ActiveShares(R), providing fund advisors with real choice over what ETF wrapper to use for active portfolio management
The Shielded AlphaSM ETF structure is available for license by fund advisors seeking to manage active strategies within an ETF wrapper, while still fully protecting their alpha generation strategy.
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WisdomTree Trust files with the SEC
November 19, 2019--WisdomTree Trust has filed a post-effective amendment, registration statement with the SEC.
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ETF Series Solutions files with the SEC-3 Defiance Next Gen ETFs
November 19, 2019--ETF Series Solutions has filed a post-effective amendment, registration statement with the SEC for the Defiance Next Gen Medical Innovation ETF

Defiance Next Gen Food & Agriculture ETF
Defiance Next Gen Junior Biotech ETF.
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Absolute Shares Trust files with the SEC
November 19, 2019--Absolute Shares Trust has filed a post-effective mendment, registration statement with the SEC-12 WBI ETFs.
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Exchange Listed Funds Trust files with the SEC-High Yield ETF
November 19, 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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EntrepreneurShares Series Trust files with the SEC-5 ERShares ETFs
November 19, 2019--EntrepreneurShares Series Trust has filed a post-effective amendment, registration statement with the SEC-5 ERShares ETFs.
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Grayscale Bitcoin Trust Files Form 10 with SEC
November 19, 2019--Grayscale Investments(R), the largest digital currency asset manager and sponsor of Grayscale(R) Bitcoin Trust, today announced that it has publicly filed a Registration Statement on Form 10 with the Securities and Exchange Commission (SEC) on behalf of Grayscale Bitcoin Trust.*
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Fidelity's Digital-Currency Business Gets Green Light from New York State
November 19, 2019--The step is expected to help the financial firm recruit new clients to its fledgling platform for storing and trading bitcoin
Fidelity Investments' digital-currency business won state regulatory approval to operate in New York, a step expected to help the financial firm recruit new clients to its fledgling platform for storing and trading bitcoin.
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Columbia ETF Trust I files with the SEC
November 18, 2019--Columbia ETF Trust I has filed an application for exemptive relief with the SEC.
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PGIM ETF Trust files with the SEC
November 18, 2019--PGIM ETF Trust has filed a post-effective amendment, registration statement with the SEC
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USCF ETF Trust files with the SEC-3 USCF SummerHaven ETFs
November 18. 2019-USCF ETF Trust has filed a post-effective amendment, registration statement with the SEC for the
USCF SummerHaven SHPEN Index Fund
USCF SummerHaven SHPEI Index Fund
USCF SummerHaven Dynamic Commodity Strategy No K-1 Fund.
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First Trust Exchange-Traded Fund VIII files with the SEC-FT Cboe Vest U.S. Equity Buffer ETF-November
November 18, 2019--First Trust Exchange-Traded Fund VIII has filed a post-effective amendment, registration statement with the SEC for the FT Cboe Vest U.S. Equity Buffer ETF-November.
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Impact Shares Trust I files with the SEC
November 18, 2019--Impact Shares Trust I has filed a post-effective amendment, registration statement with the SEC.
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First Trust Exchange-Traded Fund VIII files with the SEC-FT Cboe Vest U.S. Equity Deep Buffer ETF-November
November 18, 2019--First Trust Exchange-Traded Fund VIII has filed a post-effective amendment, registration statement with the SEC for the FT Cboe Vest U.S. Equity Deep Buffer ETF-November.
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Guinness Atkinson Asset Management Announces Launch of SmartETFs Smart Transportation & Technology ETF
November 18, 2019--Actively managed global investment strategy will offer investors access to key innovators in smart transportation sector.
Guinness Atkinson Asset Management today announced the launch of the SmartETFs Smart Transportation & Technology ETF, an actively managed global investment strategy designed to provide investors with dedicated exposure to the innovative companies shaping the future of transportation.
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