Exemptive Relief Filings

August 29, 2017

Active 40-APP Filings

Generally before a firm can launch an ETF and usually before it files a prospectus, it files a 40-APP form, which is basically an application for the exemptions necessary to create an ETF. On occasion the filings are extremely vague, but sometimes they go into great detail describing the initial ETFs the firm intends to launch. Our table below lists 40-APP filings for ETFs as well as their dates and the types of filings - most fall into the category of "active" for actively managed funds or "standard" for index-based funds targeting the usual categories. Click on the company's name to read the filing.

Date Firm/Filing Link Type
08/17/17 AQR Standard
08/17/17 AQR Active
07/31/17 Blue Tractor Group New Structure - Active
06/28/17 J.P. Morgan Active
06/27/17 Destra Standard
06/27/17 Destra Active
06/07/17 ETF Series Solutions - Nationwide Standard
06/07/17 Innovator Capital Management Active
05/15/17 ProcureAM Active
04/13/17 Point Bridge Capital Standard
04/12/17 Northern Lights Standard
03/06/17 Elkhorn Securities Standard
02/21/17 Change Finance Standard
02/15/17 Elkhorn Securities/Amplify Unit Trust New Structure
02/06/17 FFCM Active
01/24/17 ClearShares Active
11/18/16 Pimco Standard
10/28/16 Metaurus Advisors Standard
10/20/16 Parker Global Strategies Standard
10/07/16 Tortoise Index Solutions Standard
09/28/16 Dreyfus ETF Trust Standard
09/20/16 StrongVest ETF Trust Standard
09/20/16 StrongVest ETF Trust Active
08/31/16 Active Weighting Funds ETF Trust Active
08/31/16 Active Weighting Funds ETF Trust Active Funds of Funds
08/30/16 Formula Folio Investments Active
08/17/16 USAA Asset Management Co Standard
08/17/16 Vanguard Active 
08/16/16 Blue Sky Asset Management Standard
08/10/16 CWM Advisors Standard
08/05/16 Wells Fargo Exchange-Traded Funds Trust Standard
07/22/16 BlackRock Fund Advisors Standard
07/20/16 KraneShares Trust Active
06/23/16 Dhandho ETF Trust Standard
06/15/16 Empowered Funds Standard
06/08/16 TrimTabs ETF Trust Active
06/06/16 Regents Park Funds Active
11/12/15 BlackRock Spruce ETF Trust Active
10/30/15 PowerShares Standard
10/16/15 Franklin Templeton Standard
10/16/15 Good Hill Partners Active
10/02/15 Nuveen Investments Standard
08/12/15 Academy Asset Management Standard
06/29/15 BetaClone Advisers Standard
06/17/15 Legg Mason Standard
06/03/15 ARK Investment Management Standard
05/26/15 Coefficient Capital Standard
05/15/15 Recon Capital Standard
04/20/15 USAA Mutual Fund Share Classes
02/27/15 Nuveen Investments Active
02/20/15 Amplify Investments Active
02/20/15 Amplify Investments Fund-Of-Funds
02/20/15 Amplify Investments Standard
12/18/14 Janus Standard
09/19/14 Goldman Sachs Standard
09/19/14 Goldman Sachs Active
08/29/14 CSOP Asset Management Standard
08/15/14 Pacer Financial Standard
07/31/14 USCF Advisers Active
06/20/14 Wells Fargo Active
06/16/14 Validea Capital Management Active
05/13/14 Innovator Management Active
04/07/14 TrimTabs Asset Management Standard
03/18/14 ETF Securities Standard
03/12/14 FlexShares Standard
03/07/14 Vanguard Active
02/24/14 Dreyfus Active
02/13/14 United States Commodity Funds Standard
01/29/14 ETF Securities Active
01/16/14 Prudential Investments Active
01/09/14 Elkhorn Investments Standard
01/09/14 Elkhorn Investments Active
11/26/13 Empowered Funds Active
11/21/13 Global X Active
11/20/13 Horizons Standard
11/15/13 WisdomTree Standard
11/15/13 Acacia Assset Management Active
10/30/13 Cohen & Steers Standard
10/30/13 Cohen & Steers Active
10/21/13 ALPS Standard
09/05/13 Salient Advisors Standard
08/29/13 Emerging Global Advisors Standard
08/23/13 Arrow Investment Advisors Standard
08/12/13 RevenueShares Standard
08/12/13 RevenueShares Active
08/09/13 Cambria Standard
07/30/13 U.S. Global Investors Standard
07/16/13 Deutsche Bank Standard
07/09/13 Syntax Analytics Active
05/10/13 IndexIQ Active
04/05/13 ERNY Financial Advisors Active
04/05/13 ERNY Financial Advisors Standard
03/28/13 USAA Active
03/21/13 Guinness Atkinson Standard
02/26/13 Van Eck Standard
01/25/13 Emerging Global Advisors Active
12/20/12 Artivest Advisers Active
12/07/12 Fidelity Investments Active
10/24/12 ProShares Standard
10/17/12 LocalShares Standard
09/28/12 ETF Issuer Solutions Active
08/30/12 BroadSouth Investment Management Standard
08/22/12 Legg Mason Standard
08/16/12 Northern Trust Standard
07/03/12 IndexIQ Standard
06/13/12 Sigma Investment Advisors Standard
06/08/12 ProShares Active
06/08/12 Franklin Templeton Active
06/08/12 Renaissance Capital Standard
05/29/12 Sage Quant Management Standard
04/30/12 Radiance Asset Management Active
03/01/12 Van Eck Mutual Fund Share Classes
02/24/12 Charles Schwab Active
02/24/12 Charles Schwab Standard
01/30/12 Deutsche Bank Active
12/01/11 Fidelity Investments Standard
11/14/11 Salient Advisors Active
10/18/11 Exchange Traded Concepts Active
09/21/11 Exchange Traded Concepts Standard
09/12/11 Cambria Investment Management Active
09/12/11 Transparent Value Advisors Active
09/08/11 Emerging Global Advisors Standard
08/26/11 Federated Investment Management Active
08/15/11 Natixis Asset Management Advisors Standard
08/15/11 Natixis Asset Management Advisors Active
08/05/11 Arrow Investment Advisors Active
07/20/11 Yorkville ETF Advisors Active
06/30/11 Wealthfront Inc. Active
06/24/11 Forum Investment Advisors LLC Active
04/06/11 Millington Securities Standard
11/19/10 Neuberger Berman Standard
10/01/10 Global X Standard
09/22/10 The Hartford Active
09/03/10 Janus Active
08/03/10 iShares Standard
07/30/10 Huntington Asset Advisors Active
07/29/10 RiverPark Advisors Active
07/23/10 Georgetown Investment Management Standard
07/16/10 Alliance Bernstein Active
07/15/10 First Trust Active
07/08/10 Legg Mason Active
07/01/10 Highland Capital Management Active
06/30/10 WisdomTree Fund-Of-Funds
06/17/10 iShares Active
06/17/10 Huntington Asset Advisors Active
05/18/10 ETSpreads Standard
03/26/10 First Trust Standard
03/10/10 J.P. Morgan Standard
03/05/10 Eaton Vance Active
02/11/10 Northern Trust Active
12/31/09 FFCM LLC Active
12/24/09 Goldman Sachs Standard
12/23/09 John Hancock Advisers Active
12/04/09 T. Rowe Price Active
11/23/09 Guggenheim Active
11/10/09 State Street Global Advisors Standard
11/06/09 IndexIQ Standard
10/30/09 Jefferies Asset Management Standard
09/16/09 ShariahShares Standard
09/03/09 State Street Global Advisors Active
08/21/09 Arrow Investment Advisors Standard
08/21/09 John Hancock Advisers Standard
07/20/09 Direxion Shares Standard
07/14/09 FactorETF Standard
07/09/09 Claremont Standard
06/09/09 Guggenheim Active
05/15/09 Van Eck Active
03/25/09 Next Investments Standard
02/26/09 Direxion Shares Standard
 

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