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SEC Proposes Rules to Amend Minimum Pricing Increments and Access Fee Caps and to Enhance the Transparency of Better Priced Orders
December 14, 2022--The Securities and Exchange Commission today proposed to amend certain rules under Regulation NMS to adopt variable minimum pricing increments, or "tick sizes," for the quoting and trading of NMS stocks, reduce access fee caps for protected quotations, and accelerate the transparency of the best priced orders available in the market.
The proposed amendments are designed to enhance trading opportunities for all investors and to help ensure that orders placed in the national market system reflect the best prices available for all investors.
SEC Proposes Amendments to Enhance Disclosure of Order Execution Information
December 14, 2022--The Securities and Exchange Commission today proposed amendments that would update the disclosure required under Rule 605 of Regulation NMS for order executions in national market system stocks, which are stocks listed on a national securities exchange. Rule 605 was adopted in 2000 and provides visibility into execution quality at different market centers.
It has not been substantively updated since it was adopted.
"In the 22 years since Rule 605 was adopted, our equity markets have been transformed by ever-changing technologies and business models," said SEC Chair Gary Gensler. "Current Rule 605 disclosures have not kept up with our markets and provide investors with an incomplete picture of execution quality. SEC Adopts Amendments to Modernize Rule 10b5-1 Insider Trading Plans and Related Disclosures
"About 20 years ago, the SEC established Exchange Act Rule 10b5-1. This rule provided affirmative defenses for corporate insiders and companies to buy and sell company stock as long as they adopted their trading plans in good faith- before becoming aware of material nonpublic information," said SEC Chair Gary Gensler. Global X Funds files with the SEC-Global X Emerging Markets Great Consumer ETF Global X Funds files with the SEC-Global X Emerging Markets ETF Neuberger Berman ETF Trust files with the SEC-4 Neuberger Berman ETFs iShares Trust files with the SEC Global X Funds files with the SEC-Global X PropTech ETF Muni-Bond ETFs Lure $28 Billion as Mutual Funds Bleed Cash JPMorgan to give $1.7bn in active ETFs a passive makeover The three funds are the firm's $1.2bn US Aggregate Bond ETF, $418mn High Yield Research Enhanced ETF and $43mn Corporate Bond Research Enhanced ETF.
Tidal ETF Trust files with the SEC-ATAC Equity Leverage Rotation ETF Principal Exchange-Traded Funds files with the SEC-Principal Ultra-Short Active Income ETF First Leveraged Single-Stock ETFs Launch On: Meta, Alibaba & Nvidia
Fund Name: GraniteShares 1.5X Long META Daily ETF Volatility Shares Trust files with the SEC-1x Short VIX Mid-Term Futures ETF
Volatility Shares Trust files with the SEC-1x Long VIX Futures K-1 Free ETF
December 14, 2022--The Securities and Exchange Commission today adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 and new disclosure requirements to enhance investor protections against insider trading. The amendments include updates to Rule 10b5-1(c)(1), which provides an affirmative defense to insider trading liability under Section 10(b) and Rule 10b-5.
Collectively, the final rules aim to strengthen investor protections concerning insider trading and to help shareholders understand when and how insiders are trading in securities for which they may at times have material nonpublic information.
December 14, 2022--Global X Funds has filed a post-effective amendment, registration statement with the SEC for the Global X Emerging Markets Great Consumer ETF.
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December 14, 2022--Global X Funds has filed a post-effective amendment, registration statement with the SEC for the Global X Emerging Markets ETF.
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December 14, 2022--Neuberger Berman ETF Trust has filed a post-effective amendment, registration statement with the SEC for the
Neuberger Berman Carbon Transition & Infrastructure ETF
Neuberger Berman Disrupters ETF
Neuberger Berman Next Generation Connected Consumer ETF
Neuberger Berman Commodity Strategy ETF.
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December 13, 2022--iShares Trust has filed a Post-Effective Amendment, Registration Statement with the SEC.
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December 13, 2022--Global X Funds has filed a Post-Effective Amendment, Registration Statement with the SEC for the Global X PropTech ETF.
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December 13, 2022--Citigroup says market volatility catalyst to greater adoption
Low costs and model portfolios also spur adoption, bank says,br>Market volatility supercharged the growth of municipal-bond exchange traded funds in 2022 at the expense of open-end mutual funds, which may lose some of those assets for good.
Despite the worst market rout in 40 years, investors plowed a record $27.8 billion into municipal-bond ETFs this year, a striking contrast to open-end funds which lost more than $130 billion. As much as half the inflows came from mutual fund holders selling shares at a loss to offset gains and swapping into ETFs, according to estimates by Drew Pettit, director of ETF analysis and strategy at Citigroup Inc.
December 13, 2022--The funds will have their management fees reduced, disclosures show
JPMorgan will give three actively managed ETFs with a combined $1.7bn in assets a passive makeove, filings show.
The ETFs will become part of JPMorgan's BetaBuilders family of traditional cap-weighted strategies covering various countries and regions, the firm disclosed on Friday.
December 13, 2022-Tidal ETF Trust has filed a Form 497K-Summary Prospectus with the SEC for the ATAC Equity Leverage Rotation ETF.
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December 13, 2022-Principal Exchange-Traded Funds has filed a Form 497K-Summary Prospectus with the SEC for the Principal Ultra-Short Active Income ETF.
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December 13, 2022--GraniteShares, the U.S. ETF issuer, has listed three new leveraged single-stock Exchange Traded Funds (ETFs) on the NASDAQ Stock Exchange.
GraniteShares' new suite of leveraged single-stock ETFs enables sophisticated investors to take high-conviction positions on some of the most popular stocks: Meta, Alibaba & Nvidia.
The three new leveraged single-stock ETFs are as follows:
Fund Ticker: FBL
Underlying Stock: Meta
December 13, 2022--Volatility Shares Trust has filed a Post-Effective Amendment, Registration Statement with the SEC for the 1x Short VIX Mid-Term Futures ETF.
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December 13, 2022--Volatility Shares Trust has filed a Post-Effective Amendment, Registration Statement with the SEC for the 1x Long VIX Futures K-1 Free ETF.
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