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Innovator ETFs Trust files with the SEC-Innovator International Developed Power Buffer ETF-September
August 24, 2023--Innovator ETFs Trust has filed a Form N-1A Registration Statement, Post-effective amendment with the SEC for the Innovator International Developed Power Buffer ETF-September.
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Global X Funds files with the SEC-Global X Emerging Markets ETF and Global X Emerging Markets Great Consumer ETF
August 24, 2023--Global X Funds has filed a Form N-1A Registration Statement, Post-effective amendment with the SEC for the
Global X Emerging Markets ETF
Global X Emerging Markets Great Consumer ETF.
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VanEck ETF Trust files with the SEC
August 24, 2023--VanEck ETF Trust has filed a Form N-1A Registration Statement, Post-effective amendment with the SEC.
John Hancock Exchange-Traded Fund Trust files with the SEC
August 24, 2023-John Hancock Exchange-Traded Fund Trust has filed a Post-Effective Amendment, Registration Statement with the SEC.
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Vanguard share class monopoly faces challenge with unique filing
August 24, 2023--US investment boutique hopes first application for mutual fund share classes of ETFs will gain approval
A US investment boutique has filed with regulators to launch mutual fund share classes of its family of exchange traded funds in the latest attempt by the industry to break Vanguard's lucrative US-wide monopoly on the innovative structure.
Vanguard was granted a US patent for its "ETF-as-a-share-class" structure in 2000, allowing it to operate a mutual fund and a sister ETF as essentially the same vehicle, generating superior tax efficiency and economies of scale.
JPMorgan Wins Ruling That Leveraged Loans Are Not Securities
August 24, 2023--JPMorgan Chase & Co. won a federal appeals court ruling that a $1.8 billion leveraged loan at issue in a court case was not a security, a victory for the banking and private equity industries.
The decision Thursday by the Second Circuit US Court of Appeals in Manhattan came in a securities fraud lawsuit brought by a trustee for note purchasers in a 2014 syndicated loan deal led by JPMorgan. Soon after the notes began trading, the borrower, drug-testing company Millennium Health, ran into legal troubles and filed for bankruptcy the next year.
Manager Directed Portfolios files with the SEC-Vert Global Sustainable Real Estate ETF
August 24, 2023--Manager Directed Portfolios has filed a Form N-1A Registration Statement, Post-effective amendment with the SEC for the Vert Global Sustainable Real Estate ETF.
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EA Series Trust files with the SEC-ARK 21Shares Active Bitcoin Ethereum Strategy ETF and ARK 21Shares Active Ethereum Futures ETF
August 24, 2023--EA Series Trust has filed a Form N-1A Registration Statement, Post-effective amendment with the SEC for the
ARK 21Shares Active Bitcoin Ethereum Strategy ETF
ARK 21Shares Active Ethereum Futures ETF.
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ALPS ETF Trust files with the SEC-ALPS Active REIT ETF
August 24, 2023--ALPS ETF Trust has filed a Form N-1A Registration Statement, Post-effective amendment with the SEC for the ALPS Active REIT ETF.
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Trust for Advised Portfolios files with the SEC-Miller Value Partners Appreciation ETF and Miller Value Partners Leverage ETF
August 24, 2023--Trust for Advised Portfolios has filed a Form N-1A Registration Statement, Post-effective amendment with the SEC for the
Miller Value Partners Appreciation ETF
Miller Value Partners Leverage ETF.
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Putnam ETF Trust files with the SEC-3 ETFs
August 24, 2023--Putnam ETF Trust has filed a Form N-1A Registration Statement, Post-effective amendment with the SEC for the
Putnam BDC Income ETF
Putnam BioRevolution ETF
Putnam Emerging Markets ex-China ETF.
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ETF Series Solutions files with the SEC-5 Aptus ETFs and 1 Opus ETF
August 24, 2023--ETF Series Solutions has filed a Form N-1A Registration Statement, Post-effective amendment with the SEC for the
Aptus Drawdown Managed Equity ETF
Aptus Collared Investment Opportunity ETF (formerly, Aptus Collared Income Opportunity ETF)
Aptus Defined Risk ETF
Opus Small Cap Value ETF
Aptus International Enhanced Yield ETF (formerly, International Drawdown Managed Equity ETF
Aptus Enhanced Yield ETF.
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SEC Enhances the Regulation of Private Fund Advisers
August 23, 2023--The Securities and Exchange Commission today adopted new rules and rule amendments to enhance the regulation of private fund advisers and update the existing compliance rule that applies to all investment advisers. The new rules and amendments are designed to protect private fund investors by increasing transparency, competition, and efficiency in the private funds market.
"Private funds and their advisers play an important role in nearly every sector of the capital markets," said SEC Chair Gary Gensler. "By enhancing advisers' transparency and integrity, we will help promote greater competition and thereby efficiency. Consistent with our mission and Congressional mandate, we advance today's rules on behalf of all investors - big or small, institutional or retail, sophisticated or not."
ETF Series Solutions files with the SEC-The Acquirers Fund
August 23, 2023-ETF Series Solutions has filed a Post-Effective Amendment, Registration Statement with the SEC for the The Acquirers Fund.
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iShares, Inc. files with the SEC-iShares Asia/Pacific Dividend ETF and iShares Emerging Markets Dividend ETF
August 23, 2023-iShares, Inc. has filed a Post-Effective Amendment, Registration Statement with the SEC for the
iShares Asia/Pacific Dividend ETF
iShares Emerging Markets Dividend ETF.
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