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Global X files with the SEC
December 21, 2012--Global X has filed a post-effective amendment, registration statement with the SEC for the Global X MLP & Affiliates ETF.
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SSgA files with the SEC
December 21, 2012--SSgA has filed a post-effective amendment, registration statement with the SEC for the
SPDR MFS Systematic Core Equity ETF
SPDR MFS Systematic Growth Equity ETF
SPDR MFS Systematic Value Equity ETF.
view filing
Exchange Traded Concepts files with the SEC
December 21, 2012--Exchange Traded Concepts has filed a second amended and restated application for exemptive relief with the SEC.
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CFTC's Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Certain Persons Required to Register Pursuant
to Recent Changes to Commission Regulations
December 21, 2012--The Commodity Futures Trading Commission's (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a letter providing that DSIO
will not recommend that the CFTC take enforcement action against certain commodity pool operators(“CPOs”), commodity trading advisors (“CTAs”) or any principal or associated person (“AP”) thereof who will be required to register with the CFTC pursuant to the recent amendment to Commission Regulation 4.5 or the rescission of Commission Regulation 4.13(a)(4).
CFTC's Division of Market Oversight Provides Swap Dealers With Swap Data Reporting Relief
December 21, 2012--The Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC) today announced the issuance of a letter providing swap dealers with time-limited no-action
relief from certain swap data reporting obligations under Parts 43, 45, and 46 of the Commission’s regulations.
CFTC's Office of the General Counsel Issues Time-Limited, No-Action Relief for Compo Equity Total Return Swaps CFTC Approves Exemptive Order on Cross-Border Application of the Swaps Provisions of Dodd-Frank CFTC's Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding the Treatment of Swap Transactions Arising from Multilateral Portfolio CFTC's Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain U.S. Banks Wholly Owned by Non-U.S. Swap Dealers, for Purposes of Making Calculations Under the Swap Dealer Definition SEC Announces Agenda for Roundtable on Decimalization
The roundtable will be divided into three panels.
Participants on the first panel will address the impact of tick sizes on small and mid-sized companies, the economic consequences (including costs and benefits) of increasing or decreasing minimum tick sizes, and whether other policy alternatives might better address concerns related to Section 106(b) of the JOBS Act.
SEC Approves New Rules Regarding Lost Holders of Securities ALPS files with the SEC Horizons ETFs announces closure of certain ETFs ETF Name:
Horizons Gartman ETF
ETF Name: Horizons Active Income Plus ETF
ETF Name: Horizons Active North American Value ETF Another Japan ETF Sees Soaring Inflows
Pursuant to Parts 45 and 46
December 21, 2012--The Commodity Futures Trading Commission's (CFTC) Division of Market Oversight (Division) today issued a letter providing reporting parties under Parts 45 and
46 of the Commission’s regulations with time-limited no-action relief from requirements to report certain identifying information regarding their non-reporting counterparties.
December 21, 2012--The Commodity Futures Trading Commission's (Commission) Office of the General Counsel (OGC) today issued a no-action letter providing time-limited relief from requirements arising from the
Commission's joint interpretation with the Securities and Exchange Commission that compo equity total return swaps are mixed swaps.
December 21, 2012--The Commodity Futures Trading Commission (Commission) today approved an exemptive order providing time-limited relief from certain cross-
border applications of the swaps provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) and the Commission’s regulations.
Compression Exercises for Purposes of Making Calculations Under the Swap Dealer Definition
December 21, 2012--The Commodity Futures Trading Commission's (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter that provides relief for persons engaging in multilateral portfolio compression exercises.
The Division will not recommend that the Commission take enforcement action against any person for failure to include in its calculation of the aggregate gross notional amount of swaps connected with its swap dealing activity for purposes of Commission Regulation 1.3(ggg)(4), terminations of swaps view more
December 21, 2012--The Commodity Futures Trading Commission's (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter that provides relief for certain U.S. banks that are wholly owned by non-U.S. swap dealers.
The no-action letter states that the Division will not recommend that the Commission take enforcement action against any U.S. bank that is wholly owned by a foreign entity for failure to consider the swap dealing activities of its foreign affiliates, or the U.S. branches of such affiliates, with respect to swap positions executed from and after October 12, 2012, when determining whether such U.S. bank satisfies the de minimis exception to the swap dealer definition and registration requirements, so long as the U.S. bank meets certain conditions specified in the letter.
December 21, 2012--The Securities and Exchange Commission today announced the agenda for its upcoming staff roundtable that will evaluate the impact of tick sizes on the securities markets.
The roundtable, announced earlier this month, will take place on February 5 in Washington D.C. Panelists will be finalized and announced at a later date.
December 21, 2012--The Securities and Exchange Commission today unanimously approved new rules requiring broker-dealers to conduct searches for holders of securities with whom they have lost contact.
A similar rule already applied to recordkeeping transfer agents, who are the intermediaries between the clearing house and the broker-dealer. The Dodd-Frank Wall Street Reform and Consumer Protection Act tasked the SEC with extending the application of this rule to broker dealers so that broker-dealers have the same obligation.
December 21, 2012--ALPS has filed a post-effective amendment, registration statement with the SEC for the
VelocityShares Tail Risk Hedged Large Cap ETF
VelocityShares Volatility Hedged Large Cap ETF
view filing
December 21, 2012--Horizons Exchange Traded Funds Inc. ("Horizons ETFs") and its affiliate AlphaPro Management Inc. (the "Manager") announced today that they will be terminating three exchange traded funds ("ETFs") effective at the close of business on Friday, March 22, 2013 (the "Termination Date").
The ETFs being terminated (collectively, the "Terminated ETFs") are as follows:
Tickers: HAG, HAG.A
Tickers: HAP, HAP.A
Tickers: HAV, HAV.A
December 21, 2012--Add the MAXIS Nikkei 225 Index ETF (NKY) to the list of Japan ETFs that are seeing a noticeable uptick in assets under management. After the close of U.S. markets Friday, Precidian Funds, NKY's sponsor, announced the ETF crossed the $200 million in assets under management mark earlier this week.
NKY appears to be benefiting from "investors seeking exposure to Japanese equities which stand to benefit most from a domestic recovery in Japan," said Dan McCabe, CEO of Precidian Funds, in a statement.
