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AdvisorShares files with the SEC
March 29, 2013--AdvisorShares has filed a post-effective amendment, registration statement with the SEC for the
ADVISORSHARES GARTMAN GOLD/YEN ETF
ADVISORSHARES GARTMAN GOLD/BRITISH POUND ETF
ADVISORSHARES GARTMAN GOLD/EURO ETF.
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CFTC's Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Letter for Commodity Pool Operators of Securitization Vehicles
April 2, 2013--The Commodity Futures Trading Commission's (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) issued a time-limited letter stating that DSIO will not recommend that the Commission take enforcement action against the commodity pool operators of securitization vehicles that are required to register by March 31, 2013,
for failure to comply with certain enumerated sections in Part 4 of the Commission’s regulations, prior to June 30, 2013 – provided that the commodity pool operators of securitization vehicles comply with the guidance set forth in the letter with respect to those sections.
CFTC's Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Persons from Registration as an Introducing Broker or Commodity Trading Advisor
March 29, 2013--The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission announced today in a letter that it is taking a no-action position which provides relief from the requirement to register as an introducing broker or a commodity trading advisor for certain affiliates of a swap counterparty and the affiliates' employees,
where the affiliates and their employees engage in certain activity on behalf of the swap counterparty and the swap counterparty has commenced application for registration as a swap dealer or has exceeded the de minimis amount of swap dealing activity under Commission Regulation 1.3(ggg)(4)(i).
iShares files with the SEC
March 28, 2013--iShares has filed a post-effective amendment, registration statement with the SEC for the
iShares MSCI Colombia Capped ETF.
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DBX files with the SEC
March 28, 2013--DBX has filed a post-effective amendment, registration statement with the SEC.
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The Principal Financial Group files with the SEC
March 28, 2013--The Principal Financial Group has filed a Amendment no.1 to a application for exemptive relief with the SEC for actively-managed ETFs.
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John Hancock files with the SEC
March 28, 2013--John Hancock has filed a fifth amended and restated application for exemptive relief with the SEC-actively-managed ETFs.
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USAA Asset Management files with the SEC
March 28, 2013--USAA Asset Management has filed a application for exemptive relief with the SEC.
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Alps files with the SEC
March 28, 2013--Alps has filed a post-effective amendment, registration statement with the SEC for the
JEFFERIES | TR/J CRB Global Commodity Equity Index Fund.
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Global X files with the SEC
March 28, 2013--Global X has filed a post-effective amendment, registration statement with the SEC for the
Global X MLP ETF
Global X Junior MLP ETF
Global X MLP Natural Gas ETF.
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Fidelity files with the SEC
March 27, 2013--Fidelity has filed a amended and restated application for exemptive relief with the SEC-actively-managed ETFs.
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Easton Vance files with the SEC
March 27, 2013--Easton Vance has filed a application for exemptive relief with the SEC for exchange-traded managed funds ("ETMFs"), a new kind of registered investment vehicle.
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United States Commodity Funds files with the SEC
March 26, 2013--United States Commodity Funds has filed a Form S-1 registration statement with the SEC for the United States Diesel-Heating Oil Fund, LP.
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MarketShares files with the SEC
March 26, 2013--MarketShares has filed a registration statement with the SEC for the Salient MLP & Energy Infrastructure ETF.
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Wisdom Tree files with the SEC
March 25, 2013--Wisdom Tree has filed a post-effective amendment, registration statement with the SEC for the
Wisdom Tree Emerging Markets Consumer Growth Fund.
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