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Q310 ETF Investor Snapshot from Charles Schwab

November 10, 2010ETF Trends at Schwab:
ETF assets custodied at Schwab have grown to $100 billion, up 30% over the past year and 14% in the past quarter. Retail Investor ETF assets have grown 57% and now account for 37% of the total ETF assets at Schwab.

12-month combined Retail flows outpaced RIA Client flows; flows are 53% for all Retail and 47% for RIA Clients.

While only 9% of total ETF assets, the top 5 ETFs in terms of Q3 2010 flows account for over 25% of all ETF flows for the quarter.

Client Segment Flows:

US Fixed Income has seen the largest 12-month flows (29% of total ETF flows), driven by RIA Clients who account for 56% of total US FI ETF flows.

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Source: Charles Schwab


Global X Funds Launches First Norway ETF

Noivember 10, 2010--Global X Funds, the New York-based provider of exchange traded funds, launched today the Global X FTSE Norway 30 ETF (Ticker: NORW). This is the first ETF offering access specifically to Norway.

Norway is one of the most developed economies in the world, ranking first on the Human Development Index in 2009, and third in GDP-per-capita according to the World Bank. It is an exporting powerhouse, in particular for petroleum and metals, which has generated an extremely large trade surplus and resulted in one of the largest sovereign wealth funds in the world.

The Global X FTSE Norway 30 ETF tracks the FTSE Norway 30 Index, which is designed to reflect broad based equity market performance in Norway. The Norway ETF adds to the existing Global X FTSE Nordic 30 ETF (Ticker: GXF), which is a broader Scandinavian fund that accesses Norway, Denmark, Sweden and Finland. "Norway still lies outside the European Union and has not adopted the Euro currency, helping to maintain what many believe is the world's most stable economy," said Bruno del Ama, CEO of Global X Funds. "Ever since we launched the Nordic ETF, we have heard investors asking for a more targeted way to access this very developed and stable country. This Norway ETF should feed that demand well."

Source: Global X


Wall Street to sidestep ‘Volcker rule’

November 10, 2010--Wall Street groups will continue to invest billions of dollars in property and companies in spite of new rules aimed at curbing banks’ bets with their capital, executives say.

US financial groups such as Goldman Sachs, JPMorgan Chase and Morgan Stanley intend to take advantage of a little-discussed aspect of the “Volcker rule” – part of the financial reform lawapproved in July – to continue making direct investments.

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Source: FT.com


CFTC sets date for swaps proposals

November 10, 2010--US regulators, facing criticism that key rules for derivatives markets are taking too long to draft, said they planned to detail which institutions would be subject to tough new regulations on December 1

The keenly awaited definitions will determine the amount of capital derivatives market participants from banks to energy companies have to put aside..

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Source: FT.com


Greenspan warns over weaker dollar

November 10, 2010--The US is pursuing a policy of weakening its currency which is driving up exchange rates in the rest of the world, according to Alan Greenspan, the former chairman of the Federal Reserve.

Writing in today’s Financial Times ahead of the G20 meeting in Seoul, Mr Greenspan argues that with China also holding down the renminbi..

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Source: FT.com


NYSE Liffe U.S. Incentive Programs for Global FCMs and International Traders

November 10, 2010--NYSE Liffe U.S. is pleased to announce the launch of two new incentive programs in precious metals futures:
The Global FCM Incentive Program (GFIP)
The International Trader Incentive Program (ITIP)

The GFIP provides Exchange fee rebates to FCMs facilitating access on behalf of new clients to the NYSE Liffe U.S. precious metals futures product suite.

GFIP key features:

FCMs can receive a rebate of $0.25/side traded by a client new to NYSE Liffe U.S. precious metals futures

Rebates apply to both the mini- and full-sized precious metals futures contracts

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Source: NYSE Liffe U.S.


Statement on Support of the Dodd-Frank Rulemaking of Chairman Gary Gensler

November 10, 2010--Statements for the record on each rule:
Whistleblowers
I support the proposed rulemaking to establish a program for whistleblowers as mandated by the Dodd-Frank Act. Congress enacted these provisions to incentivize whistleblowers to come forward with new information about potential fraud in the financial markets.

The proposed rulemaking authorizes the Commission to provide a monetary award to whistleblowers when their original information results in a successful enforcement action. The rule also provides that moneys recovered will fund new customer educations initiatives to protect the public. The proposed rules encourage persons with knowledge to come forward and assist the Commission in identifying, investigating and prosecuting potential violations of the Commodity Exchange Act.

Registration Process for Swap Dealers and Major Swap Participants Rulemaking

I support the proposed rulemaking to establish a process for the registration of swap dealers and major swap participants. This proposal would implement Congress’s mandate that these entities be subject to registration and regulation for their swaps business. Registration will enable the Commission to monitor swap dealers and major swap participants for compliance with the Dodd-Frank Act and Commission rulemakings. Through regulation of the dealers, the Commission will be able to protect market participants and the public and promote sound risk management practices. The proposal includes a requirement that swaps dealers and major swap participants register with a registered futures association, such as the National Futures Association. This would provide the Commission with flexibility with regard to its oversight of swap dealers and major swap participants for compliance with the Dodd-Frank Act.

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Source: CFTC.gov


Opening Statement, Meeting of the Commodity Futures Trading Commission

November 10, 2010--November 10, 2010
Good afternoon. This meeting will come to order. This is a public meeting of the Commodity Futures Trading Commission to consider issuance of the following proposed rulemakings under the Dodd-Frank Wall Street Reform and Consumer Protection Act:

Registration of Foreign Boards of Trade;
Registration of swap dealers and major swap participants;
Implementation of new whistleblower provisions of the Commodity Exchange Act;

Risk management policies of swap dealers and major swap participants;

• Two rules concerning firewalls and conflict-of-interest policies and procedures by swap dealers, futures commission merchants and other intermediaries; and

Designation of a chief compliance officer and related compliance policies of swap dealers, major swap participants and futures commission merchants.

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Source: CFTC.gov


INDEXIQ Announces October 2010 Performance Of Its IQ Hedge Family Of Benchmark Hedge Fund Replication & Alternative BETA Indexes

November 9, 2010-IndexIQ, a leading developer of index-based alternative investment solutions, today announced the performance of its proprietary family of hedge fund replication and alternative beta indexes.

Designed as investable benchmarks that replicate the performance characteristics of sophisticated hedge fund strategies, the IQ Hedge™ benchmark indexes were originally introduced on March 30, 2007, and have been calculating live since that date. IQ Hedge is the first family of investable benchmark indexes covering hedge fund replication/alternative beta strategies.

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Source: Index IQ


CFTC.gov Financial Data for Futures Commission Merchants Update

November 9, 2010--The CFTC.gov Financial Data for Futures Commission Merchants -Selected FCM financial data as of September 30, 2010 (from reports filed by October 31, 2010) has been updated and is now available.

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Source: CFTC.gov


SEC Filings


July 17, 2025 Build Funds Trust files with the SEC-Build Bond Innovation ETF
July 17, 2025 Neuberger Berman ETF Trust files with the SEC-Neuberger Berman Commodity Strategy ETF
July 17, 2025 Neuberger Berman ETF Trust files with the SEC-Neuberger Berman China Equity ETF and Neuberger Berman Global Real Estate ETF
July 17, 2025 Neuberger Berman ETF Trust files with the SEC-Neuberger Berman Short Duration Income ETF
July 17, 2025 Neuberger Berman ETF Trust files with the SEC-Neuberger Berman Option Strategy ETF

view SEC filings for the Past 7 Days


Europe ETF News


July 02, 2025 Valour Launches Eight New ETPs on Spotlight Stock Market, Including Bitcoin Cash (BCH), Unus Sed Leo (LEO), OKB (OKB), Polygon (POL), Algorand (ALGO), Filecoin (FIL), Arbitrum (ARB), and Stacks (STX)

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Asia ETF News


July 02, 2025 Fujitsu to develop ETF trading platform based on TSE's CONNEQTOR and provide it to Australian Securities Exchange
June 25, 2025 QFIIs Gain Access to Onshore ETF Options As A-share Market Opening Deepens
June 18, 2025 Mirae Asset Global Investments Launches MIRAE ASSET TIGER CHINA GLOBAL LEADERS TOP3 PLUS ETF, Tracking Solactive-KEDI China Global Leaders TOP3Plus Index

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Global ETP News


July 07, 2025 WTO issues new edition of World Tariff Profiles
July 03, 2025 Flow Traders-Tokenization in Capital Markets: A Market Maker's Perspective

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Middle East ETP News


July 14, 2025 Kuwait bourse to return to debt listing and trade in 2025
June 19, 2025 GCC: Growth on the Rise, but Smart Spending Will Shape a Thriving Future

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Africa ETF News


July 04, 2025 South Africa: African Development Bank Country Focus Report highlights urgent need for economic transformation as GDP growth remains subdued
July 01, 2025 Africa's Trade Projected to Hit $1.5 Trillion in 2025
June 26, 2025 National stock exchange launched in Somalia
June 24, 2025 East Africa's regional 20 share index
June 16, 2025 African Credit Rating Agency to Launch September 2025

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ESG and Of Interest News


June 30, 2025 OECD-Environment at a Glance Indicators
June 18, 2025 Global Energy Transition Gains Ground, but Security and Capital Challenges Persist
June 17, 2025 Pacific Economic Update: Slowing Growth Highlights Need for More Inclusive Workforce
June 10, 2025 Global Carbon Pricing Mobilizes Over $100 Billion for Public Budgets

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White Papers


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