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IndexIQ files with the SEC
September 12, 2013--IndexIQ has filed a pre-effective amendment, registration statement with the SEC for the IndexIQ Active ETF Trust.
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Eaton Vance Management files with the SEC-ETMF filing
September 12, 2013--Eaton Vance Management has filed a amended application for exemptive relief with the SEC. This exemptive relief is to permit them to offer exchange-traded managed funds ("ETMFs"), a new kind of registered investment vehicle.
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SEC Orders Exchanges to Collaborate on Bolstering Markets
September 12, 2013--U.S. securities regulators told stock exchanges to collaborate on making markets more resilient, an attempt to prevent another disruption like Nasdaq OMX Group Inc.'s three-hour halt last month.
After Securities and Exchange Commission Chairman Mary Jo White's meeting with the top executives of the nation's stock and options markets in Washington today, the regulator said it asked them to "identify a series of concrete measures designed to address specific areas where the robustness and resilience of market systems can be improved." NYSE Euronext (NYX) Chief Executive Officer Duncan Niederauer said they have 60 days to respond.
U.S. exchanges to create kill switches following Nasdaq outage
September 12, 2013--U.S. stock exchanges agreed with regulators on Thursday to reforms including a "kill switch" to stop trading during emergencies, after a software glitch with Nasdaq's stock quote processor last month led to a three-hour trading halt.
Securities and Exchange Commission Chair Mary Jo White met privately in Washington with top executives of the major exchanges and later announced five reforms in response to recent trading problems.
iShares quietly building 401(k) business
September 12, 2013--iShares is adding a line of actively managed target-risk exchange traded funds to its massive product line, building out its list of 401(k)-friendly funds as demand begins to bud.
There are currently few target-risk ETFs on the market, and even fewer that invest directly in an underlying mix of other ETFs, experts say.
"Hot Mess"
Statement of Commissioner Chilton to the CFTC Technology Advisory Committee
September 12, 2013--Thank you, Chairman O'Malia and thank you to the Technology Advisory Committee (TAC) members for your participation.
Technology in markets is way cool. All sorts of new and gee whiz things have been developed. The high frequency cheetah traders are killing it. I just want to ensure that they don't kill other traders, like end users, or markets or consumers.
There are some basic things that should be done now. They can't wait for a year. In fact, I hope we move on some of these things this year.
The Federal Budget: The Deficit is Down But the Fundamental Challenge Remains
September 12, 2013--Presentation to the Macroeconomic Advisers' Washington Policy Seminar
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AdvisorShares files with the SEC
September 12, 2013--AdvisorShares has filed a post-effective amendment, registration statement with the SEC. This Post-Effective Amendment No. 82 relates to the AdvisorShares Treesdale Rising Rates ETF.
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Van Eck files with the SEC
September 12, 2013--Van Eck has filed a post-effective amendment, registration statement with the SEC. This filing relates solely to the following series of the Registrant: Market Vectors BDC Income ETF, Market Vectors California Long Municipal Index ETF, Market Vectors CEF Municipal Income ETF, Market Vectors Emerging Markets High Yield Bond ETF,
Market Vectors Emerging Markets Local Currency Bond ETF, Market Vectors Fallen Angel High Yield Bond ETF, Market Vectors High-Yield Municipal Index ETF, Market Vectors Intermediate Municipal Index ETF, Market Vectors International High Yield Bond ETF, Market Vectors Investment Grade Floating Rate ETF, Market Vectors Massachusetts Municipal Index ETF, Market Vectors New Jersey Municipal Index ETF, Market Vectors New York Municipal Index ETF, Market Vectors LatAm Aggregate Bond ETF, Market Vectors Long Municipal Index ETF, Market Vectors Mortgage REIT Income ETF, Market Vectors Ohio Municipal Index ETF, Market Vectors Pennsylvania Municipal Index ETF, Market Vectors Preferred Securities ex Financials ETF, Market Vectors Pre-Refunded Municipal Index ETF, Market Vectors Renminbi Bond ETF, Market Vectors Short Municipal Index ETF and Market Vectors Treasury-Hedged High Yield Bond ETF.
Cambria files with the SEC
September 12, 2013--Cambria has filed a post-effective amendment, registration statement with the SEC. This registration statement affects only the registration of the Cambria Foreign Shareholder Yield ETF and Cambria Emerging Shareholder Yield ETF.
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Money market reform could hike muni borrowing costs-Fidelity
September 11, 2013--Fidelity Investments, the largest provider of U.S. money market funds, told Securities and Exchange Commission officials that proposed industry reform could increase the borrowing costs of U.S. municipalities by up to $13 billion, according to an SEC memo.
During an Aug. 16 meeting with the SEC's Division of Economic and Risk Analysis, Fidelity officials said U.S. municipal financing costs could increase anywhere from $1 billion to $13 billion, depending on the amount of money market-related funding that is refinanced with more expensive debt.
PowerShares files with the SEC
September 10, 2013--PowerShares has filed a post-effective amendment, registration statement with the SEC.
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Goldman Sachs, Visa & Nike Set to Join the Dow Jones Industrial Average
September 10, 2013--The Goldman Sachs Group Inc. (NYSE:GS) will replace Bank of America Corp. (NYSE:BAC), Visa Inc, (NYSE:V) will replace Hewlett-Packard Co. (NYSE:HPQ), and Nike Inc. (NYSE:NKE) will replace Alcoa Inc.
(NYSE:AA) in the Dow Jones Industrial Average (DJIA) after the close of trading on Friday, September 20. The changes will be effective with the opening of trading on Monday, September 23. The index changes were prompted by the low stock price of the three companies slated for removal and the Index Committee's desire to diversify the sector and industry group representation of the Index.
The Goldman Sachs Group, headquartered in New York, NY, provides investment banking, securities, and investment management services, as well as financial services to corporations, financial institutions, governments, and high-net-worth individuals worldwide.
CLS Investments & iShares(R) ETF Research Helps Advisors Navigate the ETF Strategist Marketplace
September 10, 2013--In partnership with iShares ETFs, CLS Investments, LLC (CLS), a leading third party money manager and ETF Strategist, has released the second white paper within its AdvisorIQ education series.
The report, "Propel Your Business Forward: The Inside Track to Choosing and Implementing ETF Strategists," aims to help advisors understand how they may be able to better navigate the fast-growing ETF marketplace by outsourcing portions of their portfolio management to ETF Strategists.
ISDA Dodd-Frank March 2013 Protocol (DFP2) To EMIR Top Up Agreement
September 10, 2013--ISDA today published the DFP2 to EMIR Top Up Agreement.
This document seeks to allow for EMIR-compliant documentation for parties that have adhered to the Dodd-Frank March Protocol ("DFP2") and do not wish to adhere to the ISDA 2013 EMIR Portfolio Reconciliation, Dispute Resolution and Disclosure Protocol ("EMIR Protocol") in addition to this.
