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SEC widens probe of exchange-traded funds
February 17, 2012--U.S. securities regulators have widened their inquiry into the trillion-dollar market for exchange-traded funds, according to a person familiar with the matter.
Prompted by a delay in a big trade at a popular ETF, the U.S. Securities and Exchange Commission is taking a closer look at a possible connection between high-frequency traders and hedge funds jumping in and out of ETFs, and instances where ETF trades fail to settle on time, this person said.
The SEC's inquiry is part of a wider probe that began last year and focused on complex ETFs that allow investors to magnify returns or bet against stock indexes.
U.S. and UK regulators are concerned that so-called settlement fails - when trades are not completed on time - could contribute to volatility and systemic risk in financial markets.
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Source: Reuters
Global X files with the SEC
February 17, 2012--Global X has filed a post-effective amendment, registration statement with the SEC for the Global X MLP ETF
Global X MLP Natural Gas ETF.
view filing
Source: SEC.gov
First Trust files with the SEC-First Trust Dividend AlphaDEX Fund
February 17, 2012--First Trust has filed a post-effective amendment, registration statement with the SEC for the First Trust Dividend AlphaDEX(R) Fund.
view filing
Source: SEC.gov
Northern Lights ETF Trust
February 17, 2012--Northern Lights ETF Trust has filed a pre-effective amendment, registration statement with the SEC for the Arrow Dow Jones Global Yield ETF.
view filing
Source: SEC.gov
ETF Series Solutions files with the SEC
February 17, 2012--ETF Series Solutions has filed an initial registration statement with the SEC for the
AlphaClone Alternative Alpha ETF.
view filing
Source: SEC.gov
First Trust files with the SEC
February 17, 2012-First Trust has filed a post-effective amendment, registration statement with the SEC.
This Registration Statement relates to First Trust BICK Index Fund, First Trust Dow Jones Global Select Dividend Index Fund, First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund, First Trust ISE Cloud Computing Index Fund,
First Trust ISE Global Copper Index Fund, First Trust ISE Global
Engineering and Construction Index Fund, First Trust ISE Global Platinum Index Fund, First Trust ISE Global Wind Energy Index Fund, First Trust NASDAQ CEA Smartphone Index Fund, First Trust NASDAQ(R) Clean Edge(R) Smart Grid
Infrastructure Index Fund, First Trust NASDAQ Global Auto Index Fund and First
Trust STOXX(R) European Select Dividend Index Fund, each a series of the
Registrant.
view filing
Source: SEC.gov
CFTC.gov Commitments of Traders Reports Update
February 17, 2012--The current reports for the week of February 14, 2012 are now available.
view updates
Source: CFTC.gov
iShares files with the SEC
February 17, 2012--iShares has filed a post-effective amendment, registration statement with the SEC for the iShares Emerging Markets Dividend Index Fund.
view filing
Source: SEC.gov
SEC Filing-SPDR Index Shares Fund
February 17, 2012--A post-effective amedment, registration statement withe the SEC for the SPDR Index Shares Fund.
view filing
Source: SEC.gov
The Emerging Market Benchmark Bear Hug: Competitive Opportunity for Wealth Managers
February 17, 2012-Highlights:
Wealth managers often default to broad emerging market benchmarks as investment positions
Index components represent an implied point of view
Wealth managers that compete against this approach can differentiate their value proposition
Many wealth managers are investing in emerging markets via products that track market capitalization weighted broad benchmarks, including the MSCI Emerging Markets (EM) Index. We believe that the use of these vehicles in emerging markets represents an investment view, whether intended or unintended. The continued maturation of emerging markets has allowed wealth managers to make choices beyond broad benchmarks, thereby differentiating client portfolios and their own value propositions.
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Source: EGShares
