- New Listings and Filings
- ETFs in Registration
- Exemptive Relief Filings
- ETF Closures
- Index and Ticker Changes
Before a firm can even file a prospectus on an ETF it wants to launch, it needs to file a 40-APP, 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 recent 40-APP filings for ETFs: Click on the company's name to read the filing; click on the description of the filing to read our coverage of it. The third column lists the filing date of the 40-APP filing.
A low-volatility emerging markets ETF outpaces its plain-vanilla counterpart as it marks its three-year anniversary.
It may have been inadvertent, but the SEC’s ruling to block nontransparent active ETFs is a real plus for investors.
Knowing what ‘yield’ even means is a crucial requirement for ETF investors.
Industry movers worry ETF trading belies weak bond liquidity.