- 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.
The in-kind stock transaction used in the Duracell deal lies of at the heart of every ETF, and has the same benefit: tax efficiency.
Stock investors are used to splits, but why all the reverse splits in ETFs?
Falling gas prices and a strong buck may boost retail stocks, but the favorite ETF may not be the best play.
An alluring new bond ETF focused on China’s mainland credit market comes with a few caveats.