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Global X files with the SEC
December 31, 2009--Global X has filed a prospecus and post-effective amendment with the SEC for
Global X FTSE Nordic 30 ETF-Ticker: GXF
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Source: SEC.gov
Grail Files with SEC
December 31, 2009-Grail has filed a prospectus and Post-Effective Amendment with the SEC for
Grail McDonnell Intermediate Municipal Bond ETF(GMMB)
Grail McDonnell Core Taxable Bond ETF (GMTB)
view filing
Source: SEC.gov
FQF Trust files with the SEC
December 31, 2009--FQF Trust
has filed for exemptive relief from the SEC.
read more
Source: SEC.gov
Standard & Poor's Announces Changes In The S&P/TSX Canadian Indices
December 31, 2009--Cameco Corporation (TSX:CCO) has announced the closing of a bought- deal offering of shares of Centerra Gold Inc. (TSX:CG).
Following the transaction, Cameco will have disposed of its entire stake in Centerra. The relative weight of Centerra will increase in the S&P/TSX Composite and Capped Composite, the S&P/TSX Completion and Equity Completion, the S&P/TSX Equity and Capped Equity and the S&P/TSX Capped Materials indices to reflect the increase in index shares as part of the transaction, which will be effective after the close of trading on Thursday, December 31, 2009.
Company additions to and deletions from an S&P equity index do not in any way reflect an opinion on the investment merits of the company.
Source: Standard & Poors
CFTC Adopts Amendments to Electronic Filing Regulations and Certain Other Financial Reporting Requirements Applicable to Futures Commission Merchants and Introducing Brokers
December 31, 2009--The Commodity Futures Trading Commission (CFTC) has adopted amendments to its regulations regarding the electronic filing of financial reports and notices by futures commission merchants (FCMs) and introducing brokers (IBs) as well as certain other of its financial reporting requirements. The amendments, among other things:
• enable internet-based filing of FCM financial reports using user authentication and password procedures in light of changes to the WinJammer™ software application;
• expand the types of filings that FCMs and IBs may submit electronically to include required “early warning” notices and certain other notices and filings;
• provide for less prescriptive, but more immediate, documentation to be filed regarding a firm’s undercapitalized condition; and
• expressly include an income statement in the required periodic unaudited financial reports of FCMs and IBs.
The amendments are effective January 4, 2010. Copies of the regulations may be obtained by contacting the Commission's Office of the Secretariat, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581, 202-418-5100, or by accessing the Commission's website, www.cftc.gov.
Source: CFTC.gov
CFTC Adopts Amendments To Minimum Adjusted Net Capital Requirements Of Futures Commission Merchants And Introducing Brokers
December 31, 2009--The Commodity Futures Trading Commission (CFTC) has adopted amendments to its regulations regarding minimum adjusted net capital under CFTC Regulation 1.17 for futures commission merchants (FCMs) and those introducing brokers (IBs) that do not operate under a guarantee agreement with an FCM.
The amendments increase the minimum adjusted net capital requirement for IBs from $30,000 to $45,000, and for FCMs from $250,000 to $1,000,000. The amendments also increase an FCM’s margin-based capital requirements for noncustomer positions that the firm carries from 4 percent of the maintenance margin requirements to 8 percent of the maintenance margin requirements. The amendments also require capital computations for cleared over-the-counter positions carried in customer, and noncustomer, accounts of the FCM, similar to the computations currently required for exchange-traded futures in such accounts.
The amendments will become effective 90 days from publication in the Federal Register. Copies of the amendments may be obtained by contacting the Commission's Office of the Secretariat, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581, 202-418-5100, or by accessing the Commission's website, www.cftc.gov.
Source: CFTC.gov
Standard & Poor’s Announces Changes In Withholding Tax Rates In The S&P Indices
December 31, 2009--– Standard & Poor’s will update the foreign withholding tax rate for Spain from 18% to 19% , effective after the close of trading on Monday, January 4, 2010.
Withholding tax rate is used to calculate all S&P net return indices.
Source: Standard & Poors
CFTC Staff Allows Singapore Exchange Derivatives Trading Limited’s Mini Futures Contract Based on the Nikkei 225 Stock Index To Be Offered and Sold in the United States
December 29, 2009--The Commodity Futures Trading Commission (CFTC) today announced that the Office of General Counsel issued a no-action letter on December 23, 2009, permitting the offer and sale in the United States of Singapore Exchange Derivatives Trading Limited’s (SGX-DT) mini futures contract based on the Nikkei 225 Stock Index.
The Nikkei 225 (the unit is yen) is made up of highly capitalized and actively traded stocks currently listed in the first section of the Tokyo Stock Exchange. As a widely recognized index of stock market activity in Japan, the Nikkei 225 is similar to the Dow Jones Industrial Average in the U.S.
Source: CFTC.gov
Wisdom Tree files with SEC
December 30, 2009--Wisdom tree has filed a registration statement and post-efective admendment with the SEC.
view filing
Source: Wisdom Tree
Direxion files with SEC
December 30, 2009--Direxion has filed a registration statement and post-effective amendment with the SEC.
view filing
Source: SEC.gov