Tag Archives for: SEC

NETFA: Organized Crime Comes To ETFs (SPY, UNG, USO, INDEXSP:.INX)

Andrew Snyder: The ETF sector has grown at an enormous pace. But until now, the industry had no central voice. Now that it does, it is not good news for investors.

NYSE:SPY April 27, 2012 12:19pm

RTFP: Why To Read The (Bleep) Prospectus (SPY, DIA, IWM, VTI, QQQ)

Sue Thompson: I clearly remember the first time I heard the acronym “RTFM.” I was relatively new to computers and was on the help line with a customer service rep for a major computer provider
NYSE:DIA December 1, 2011 10:24pm

Fund.com Says It is Executing on Its Business Plan Through Its AdvisorShares Subsidiary to Bring Actively Managed ETFs to the Market

Fund.com, Inc., (OTC Bulletin Board: FNDM) said today that its majority-owned subsidiary, AdvisorShares Investments, LLC, a developer and distributor of actively managed ETFs, is
ETF BASIC NEWS March 11, 2010 12:14pm

ETF Securities Reports First Buyer Of The Proposed U.S. Platinum ETF

buyerETF Securities said that a financial firm has bought 100,000 shares of its proposed first-ever U.S. platinum exchange-traded fund (ETF) and delivery is scheduled by the end of the week
ETF BASIC NEWS January 4, 2010 2:37pm

DB Commodity Services Re-Commences Issuance of Shares of the PowerShares DB US Dollar Index Bullish ETF

toilet-paper(BUSINESS WIRE)--DB Commodity Services LLC today announced that the registration statement it filed on November 2, 2009 to register 100,000,000 additional shares of the PowerShares DB
ETF BASIC NEWS November 13, 2009 1:14pm

Firms To Withstand Leverage ETFs Review

leverage-etfsProducts and companies offering leveraged and inverse ETFs are likely to survive the scrutiny faced by the ETFs, Financial Times reports. The Securities and Exchange Commission, along with
ETF BASIC NEWS September 14, 2009 9:00am


september11On August 12, 2009, the United States Natural Gas Fund, LP (UNG) registration statement on Form S-3 (333-159772) was declared effective by the Securities and Exchange Commission (the "SEC"). In UNG's Form 8-K filed on August 12, 2009, UNG's management announced that
ETF BASIC NEWS September 11, 2009 4:44pm

Manulife Looks To Join The Party And Enter The ETF Marketplace

manulife"Yet another asset manager wants in on the ETF action.  On August 21 John Hancock Advisers, John Hancock Investment Management Services and MFC Global Investment Management
ETF BASIC NEWS September 7, 2009 8:48am

Some Fear Brouhaha Over ETFs Could Spill Over

etf-news6"The Securities and Exchange Commission and the Commodity Futures Trading Commission inserted themselves into the debate surrounding controversial, non-traditional exchange traded funds last week — a debate that could harm the entire
ETF BASIC NEWS August 23, 2009 10:17am

FINRA, SEC Warn Retail Investors About Investing in Leveraged or Inverse ETFs

warningWashington, DC — The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have issued an Investor Alert called Leveraged and Inverse ETFs: Specialized Products with Extra Risks for Buy-and-Hold Investors warning
ETF BASIC NEWS August 18, 2009 12:09pm

Russell Investments Looks To Shake Up The ETF Industry With It’s Own ETF’s

russellinvestments"A top index provider is considering offering its own lineup of exchange traded funds, but just what those funds would look like is a mystery. Russell Investment Management Co., a unit of Russell Investments of Tacoma, Wash., applied July 2 for permission from the Securities and Exchange Commission to offer ETFs
ETF BASIC NEWS July 23, 2009 11:38am

The SEC Will Likely Approve Shares For Natural Gas ETF-UNG

naturalgas1As The Natural Gas ETF-UNG has faced headwinds, investors are still waiting for the next move from regulators.  "The SEC will likely approve the 1 billion extra units for the U.S. Natural Gas Fund (UNG Quote), paving the way for more investors to gain exposure to the natural gas market.
ETF BASIC NEWS July 22, 2009 10:41am

Natural Gas ETF-UNG Continues To Trade At A Premium

natural-gas-etfThe Natural Gas ETF has failed to receive regulatory approval to issue new shares which has prevented the exchange-traded fund from buying new contracts.  While natural gas prices have plummeted, the ETF has gone the opposite way as demand for the ETF has increased. 
ETF BASIC NEWS July 17, 2009 10:29am

Claymore Introduces Three Actively Managed Commodity ETFs

etf-newsClaymore Advisors has filed a request with the SEC to introduce three new ETFs, each of which would be actively managed. Among the proposed funds is the Claymore Delta Global Hard Assets ETF, which would be the first actively-managed commodity ETF. The filing with the SEC states that the Hard Assets ETF will invest in "securities that derive their revenues from the mining, processing and sale of hard commodities." While this will likely include the usual suspects - gold, silver, platinum, copper, zinc, etc. - the fund will also invest in stocks of companies representing various commodities from three broad categories: industrials, material, and energy. Full Story:  http://seekingalpha.com/article/137412-claymore-introduces-three-actively-managed-commodity-etfs
ETF BASIC NEWS May 13, 2009 9:04am

Why New SEC Chair Is Investigating Commodity ETFs

investigation1The new Securities and Exchange Commission (SEC) chairman is concerned about the level of authority used with the introduction of new exchange traded funds (ETFs), especially those that focus on commodities. SEC Chairman Mary Schapiro has brought concern to the forefront of the public’s awareness that the introduction of ETFs have not been monitored closely enough. The leveraged or inverse ETFs, as well as the commodity ETFs, are of the greatest concern. Gail MarksJarvis for The Chicago Tribune explains that Schapiro plans to examine both types of ETFs, in addition to an array of complex ETFs that have flooded the market the last few years. Also of note is that she would be adding expertise to her staff and working along with the Commodity Futures Trading Commission, which recently was said to be investigating popular oil funds to see if they’re affecting the markets. Schapiro said the the SEC’s level of expertise hasn’t kept pace with some of the complexity of some ETFs hitting the markets. Many critics are not supportive of the ETFs that let investors short the market, or sectors of the market, and they claim that these let investors force segments of the markets to fall, such as financials. They contend that manipulation causes individual stock prices to plunge harder and faster than they would based on fundamentals. Full Story: http://www.nasdaq.com/newscontent/20090428/why-new-sec-chair-is-investigating-commodity-etfs.aspx?storyid=8969
ETF BASIC NEWS April 28, 2009 5:11pm

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