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RBB Fund Trust files with the SEC
December 16, 2022--RBB Fund Trust has filed an Amendment No.1 to an application for exemptive relief with the SEC.
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Investment Managers Series Trust II files with the SEC-AXS Esoterica NextG Economy ETF
December 16, 2022--Investment Managers Series Trust II has filed a Form 497K-Summary Prospectus with the SEC for the AXS Esoterica NextG Economy ETF.
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Listed Funds Trust files with the SEC-Teucrium AiLA Long-Short Agriculture Strategy ETF
December 16, 2022-Listed Funds Trust has filed a Form 497K-Summary Prospectus with the SEC for the -Teucrium AiLA Long-Short Agriculture Strategy ETF.
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SEC urged to rein in single-stock leveraged and inverse ETFs
December 15, 2022--The regulator should impose more restrictions, members of its Investor Advisory Committee say
The Securities and Exchange Commission should prevent leveraged and inverse single-stock exchange traded funds from being called ETFs, members of its Investor Advisory Committee have said.
The single-stock ETFs, which provide leveraged or inverse exposure to just one stock, should be required to disclose more information than other ETFs about their risks and uses, said panellists at a meeting of the committee. They should also be subject to more restrictions, they said.
ETF Series Solutions files with the SEC-Roundhill Acquirers Deep Value ETF
December 15, 2022-ETF Series Solutions has filed a Form 497K-Summary Prospectus with the SEC for theRoundhill Acquirers Deep Value ETF.
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ETF Series Solutions files with the SEC-4 Nationwide ETFs
December 15, 2022--ETF Series Solutions has filed a Post-Effective Amendment, Registration Statement with the SEC for the
Nationwide Nasdaq-100 Risk-Managed Income ETF
Nationwide S&P 500 Risk-Managed Income ETF
Nationwide Dow Jones Risk-Managed Income ETF
Nationwide Russell 2000 Risk-Managed Income ETF.
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J.P. Morgan Exchange-Traded Fund Trust files with the SEC-4 JPMorgan ETFs
December 15, 2022--J.P. Morgan Exchange-Traded Fund Trust has filed a Post-Effective Amendment, Registration Statement with the SEC for the
JPMorgan Equity Focus ETF
JPMorgan High Yield Municipal ETF
JPMorgan Limited Duration Bond ETF
JPMorgan Sustainable Municipal Income ETF.
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ETF Series Solutions files with the SEC-3 ETFs
December 15, 2022--ETF Series Solutions has filed a Post-Effective Amendment, Registration Statement with the SEC for the
Roundhill Acquirers Deep Value ETF
Loncar Cancer Immunotherapy ETF
Loncar China BioPharma ETF.
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Invesco Exchange-Traded Fund Trust II files with the SEC
December 15, 2022-Invesco Exchange-Traded Fund Trust II has filed a Post-Effective Amendment, Registration Statement with the SEC.
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Invesco Exchange-Traded Self-Indexed Fund Trust files with the SEC
December 15, 2022--Invesco Exchange-Traded Self-Indexed Fund Trust has filed a post-effective amendment, registration statement with the SEC.
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ETF Series Solutions files with the SEC-Nationwide Russell 2000 Risk-Managed Income ETF
December 15, 2022-ETF Series Solutions has filed a Form 497K-Summary Prospectus with the SEC for the Nationwide Russell 2000 Risk-Managed Income ETF.
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ETF Series Solutions files with the SEC-Nationwide Dow Jones Risk-Managed Income ETF
December 15, 2022-ETF Series Solutions has filed a Form 497K-Summary Prospectus with the SEC for the Nationwide Dow Jones Risk-Managed Income ETF.
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ETF Series Solutions files with the SEC-Nationwide S&P 500 Risk-Managed Income ETF
December 15, 2022-ETF Series Solutions has filed a Form 497K-Summary Prospectus with the SEC for the Nationwide S&P 500 Risk-Managed Income ETF.
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ETF Series Solutions files with the SEC-Nationwide Nasdaq-100 Risk-Managed Income ETF
December 15, 2022-ETF Series Solutions has filed a Form 497K-Summary Prospectus with the SEC for the Nationwide Nasdaq-100 Risk-Managed Income ETF.
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SEC Proposes Regulation Best Execution
December 14, 2022--The Securities and Exchange Commission today proposed Regulation Best Execution, which would establish through Commission rules a best execution regulatory framework for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers.
While a best execution rule was first established in 1968 by the National Association of Securities Dealers, Inc., the predecessor to the Financial Industry Regulatory Authority, Inc., the proposed rule, if adopted, would create the first SEC-established rule concerning best execution.
"I am pleased to support this proposal because, if adopted, it would help ensure that brokers have policies and procedures in place to uphold one of their most important obligations: to seek best execution when trading securities, whether equities, fixed income, options, crypto security tokens, or other securities," said SEC Chair Gary Gensler.