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Fee Rate Advisory #1 for Fiscal Year 2018
August 24, 2017--The Securities and Exchange Commission today announced that in fiscal year 2018 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $124.50 per million dollars.
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. The Commission must set rates for the fees paid under Section 6(b) to levels that the Commission projects will generate collections equal to annual statutory target amounts.
view more Canadian securities regulators outline securities law requirements that may apply to cryptocurrency offerings view more Advisors Sticking With Active Investments: Practical Perspectives view more CFTC.gov Swaps Report Update Amplify YieldShares Prime 5 Dividend ETF changes investment objective view more New Redwood Emerging Markets ETF Launches on NEO view more A Cure for Wall Street’s MiFID Migraine in the Works at SEC view more Advisors Sticking With Active Investments: Practical Perspectives view more AdvisorShares-Active ETF Report-Month ending 07.31.2017
This marked the fifth straight week of overall positive flows during which time funds saw their coffers grow almost $94 billion. Money market funds were responsible for the lion's share of the net inflows this past week (+$24.6 billion) as well as for the five-week period (+$97.2 billion). Taxable bond funds (+$643 million) were the only other fund macro-group taking in net new money this past week; equity funds and municipal bond funds experienced net outflows of $3.4 billion and $636 million, respectively.
Source: Thomson Reuters Lipper
August 24, 2017--The Canadian Securities Administrators (CSA) today published CSA Staff Notice 46-307 Cryptocurrency Offerings, which outlines how securities law requirements may apply to initial coin offerings (ICOs), initial token offerings (ITOs), cryptocurrency investment funds and the cryptocurrency exchanges trading these products.
The notice describes the factors CSA staff consider in assessing whether prospectus, registration and marketplace requirements apply. It also outlines how the CSA Regulatory Sandbox can help fintech businesses contemplating such offerings and summarizes key issues that businesses should be prepared to discuss with CSA staff.
Source: Canadian Securities Administrators (CSA)
August 23, 2017--Despite increased flows to passively managed solutions, most financial advisors continue to rely on actively managed solutions, including mutual funds and separately managed accounts, according to a new research report by Practical Perspectives.
Most advisors have not changed their overall use of actively managed solutions in the past 12 months
Source: thinkadvisor.com
August 23, 2017--CFTC's Weekly Swaps Report has been updated, and is now available.
view updates
Source: CFTC.gov
August 23, 2017--Amplify YieldShares Prime 5 Dividend ETF (Bats: PFV) (the "Fund"), an exchange-traded index fund and a series of Amplify ETF Trust (the "Trust"), announced that the Board of Trustees ("Board") of the Trust has approved changes to the Fund's investment objective. On or about August 29, 2017, the Fund will seek investment results that generally correspond (before fees and expenses) to the price and yield of the Prime Senior Loan and Income CEF Index (the "New Index").
The New Index is designed to provide targeted exposure to closed-end funds (CEFs) that invest at least 80% of their assets in floating rate senior loans and other floating rate instruments, pay dividends and are listed in the United States.
Source: Amplify ETFs
August 23, 2017--Aequitas NEO Exchange Inc. ("NEO Exchange" or "NEO") is pleased to announce that Redwood Asset Management Inc. ("Redwood"), a wholly owned subsidiary of Purpose Investments Inc., received final approval from NEO and Canadian securities regulators to launch the Redwood Emerging Markets Dividend exchange traded fund (ETF).
The new ETF, represented by the ticker REM, commences trading today on NEO.
Source: NEO Exchange
August 23, 2017--Agency preparing fix as firms worry about violating U.S. rules
Europe's sweeping research regulations take effect next year.
Wall Street has been urging Washington for months to blunt the fallout from new European rules that banks say will upend their research businesses. The industry's top U.S. regulator now appears poised to help.
Source: Bloomberg
August 23, 2017--Most advisors have not changed their overall use of actively managed solutions in the past 12 months
Despite increased flows to passively managed solutions, most financial advisors continue to rely on actively managed solutions, including mutual funds and separately managed accounts, according to a new research report by Practical Perspectives.
Source: thinkadvisor.com
August 24, 2017--The AdvisorShares Active ETF Report provides a detailed analysis of one of the most rapidly expanding areas of the asset management industry. Discover how much asset growth occurred in the actively managed ETF space during July, as well as fund ratings, a breakdown of all actively managed ETFs currently trading and much more!
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Source: AdvisorShares
