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ETF Watch

ETF Watch: January 29 - February 4 [Updated 2/6]
By Heather Bell | February 05, 2012

Related ETFs: VEGI / FILL / RING / PICK / SLVP / INDA / AXJS
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Active 40-APP Filings

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.


EXPANSION OF EXISTING FIRMS
Filer/Filing Product/IndexUniverse.com Coverage Filing Date
BlackRock Actively managed, nontransparent ETFs 1-Sep-11
Claymore Actively managed commodity equity ETFs 23-Nov-09
Claymore Actively managed ETFs 9-Jun-09
Deutsche Bank Actively managed ETFs
 1-30-12
Direxion Shares Monthly inverse/leveraged ETFs 26-Feb-09
Direxion Shares 130/30 ETF 20-Jul-09
Emerging Global Advisors Equity and fixed-income ETFs 08-sep-11
Exchange Traded Concepts Domestic and international passive fixed income 21-Sep-11
Exchange Traded Concepts Actively managed ETFs 18-oct-11
Fidelity Investments Fixed income/equity and domestic/international index ETFs 01-dic-11
First Trust First Trust 2020 Target Term Corporate Bond Fund (Active) 15-Jul-10
First Trust First Trust Dow Jones Corporate Bond Index Fund 26-Mar-10
Global X Bond ETFs 01-Oct-10
IndexIQ Debt ETFs and 130/30 ETFs 6-Nov-09
iShares Active ETFs 17-Jun-10
iShares Long/Short ETFs 3-Aug-10
Jefferies Asset Management Fixed income ETF/Equity ETF 30-Oct-09
State Street Global Advisors Actively managed ETFs of ETFs 3-Sep-09
State Street Global Advisors Hedge fund and commodities ETFs 10-Nov-09
Van Eck Actively managed ETFs 15-May-09
Vanguard Actively managed fixed-income ETFs 27-Nov-09
Northern Trust Actively managed ETFs 11-Feb-10
WisdomTree Fund of funds 30-Jun-10
. . .
POTENTIAL NEW ENTRANTS
Filer/Filing Product/IndexUniverse.com Coverage Filing Date
Alliance Bernstein Active fixed income and equity quantitative ETFs 16-jul-10
Arrow Investment Advisors Index-based ETFs (target risk, equity, fixed income) 21-Aug-09
Arrow Investment Advisors Active fixed income and equity quantitative ETFs 5-Aug-11
Cambria Investment Management Actively managed ETFs 12-sep-11
Claremont Index-based ETFs 9-Jul-09
Dreyfus Active/passive, international/domestic 9-Jun-10
Eaton Vance Actively managed fixed-income ETFs 5-Mar-10
ETSpreads Fixed-income ETFs 18-May-10
FactorETF Leveraged/inverse ETFs 14-Jul-09
Federated Investment Management Actively managed ETFs 26-Aug-11
FFCM LLC Actively managed ETF of ETFs 31-Dec-09
Forum Investment Advisors LLC Actively managed domestic/international equities/fixed income 24-Jun-11
Georgetown Investment Management Passive domestic ETF 23-Jul-10
Goldman Sachs Index-based ETFs 24-Dec-09
The Hartford Active global fixed income ETFs 22-sep-10
Highland Capital Management Actively managed fixed-income ETFs 1-Jul-10
Huntington Asset Advisors Actively managed equity ETFs 17-Jun-10
Huntington Asset Advisors Active ETF with options strategy 30-Jul-10
Janus Active equities/fixed income domestic/international ETFs 3-Sep-10
John Hancock Advisers Domestic/international equity ETFs 21-Aug-09
John Hancock Advisers Actively managed ETFs 23-Dec-09
J.P. Morgan Index-based and actively managed ETFs 10-Mar-10
Legg Mason Actively managed ETFs 8-Jul-10
Millington Securities Index-based equities, fixed income and funds of funds 6-Apr-11
Natixis Asset Management Advisors Index-based ETFs 15-Aug-11
Natixis Asset Management Advisors Actively managed ETFs 15-Aug-11
Neuberger Berman Domestic/international equity and fixed income ETFs, currency ETFs, funds of funds 19-Nov-10
Next Investments ETF of ETFs 25-Mar-09
RiverPark Advisors Actively managed ETFs 29-Jul-10
Salient Advisors Actively managed ETFs and ETFs of ETFs 14-nov-11
ShariahShares Shariah-compliant domestic and international ETFs 16-Sep-09
T. Rowe Price Actively managed ETFs 4-Dec-09
Transparent Value Advisors Actively managed equity ETFs 12-sep-11
Wealthfront Inc. Actively managed domestic/international equities/fixed-income ETFs 30-Jun-11
Yorkville ETF Advisors Actively managed domestic/international equities/fixed-income ETFs 20-Jul-11


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