ETF Watch: RBS Debuts Large-Cap Alternator ETN
By Heather Bell | September 06, 2012

Page 3 of 6

| Full Article

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
Charles Schwab	Actively managed foreign and domestic equity and fixed income ETFs; fund-of-funds ETFs	24-Feb-12
Deutsche Bank	Actively managed ETFs	30-Jan-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-Dec-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
Guggenheim	Actively managed commodity equity ETFs	23-Nov-09
Guggenheim	Actively managed ETFs	9-Jun-09
IndexIQ	Debt ETFs and 130/30 ETFs	6-Nov-09
IndexIQ	Debt ETFs and ETFs using third-party indexes	03-Jul-12
iShares	Active ETFs	17-Jun-10
iShares	Long/Short ETFs	3-Aug-10
Jefferies Asset Management	Fixed income ETF/Equity ETF	30-Oct-09
ProShares	Actively managed fixed income/equities/currencies	8-Jun-12
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
Van Eck	ETF share classes of mutual funds	1-Mar-12
Vanguard	Actively managed fixed-income ETFs	27-Nov-09
Northern Trust	Actively managed ETFs	11-Feb-10
Northern Trust	Self Indexing Petition	16-ago-12
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
BroadSouth Investment Management	Domestic and international equity/fixed income "blended" ETFs	30-Aug-12
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
Franklin Templeton	Actively managed fixed income/equities/currencies	08-Jun-12
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
Legg Mason	Index-based ETF	22-ago-12
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
Renaissance Capital	Domestica/international equity and fixed-income ETFs	8-Jun-12
RiverPark Advisors	Actively managed ETFs	29-Jul-10
Sage Quant Management	Index-based domestic/international equity and fixed-income ETFs	29-May-12
Salient Advisors	Actively managed ETFs and ETFs of ETFs	14-nov-11
ShariahShares	Shariah-compliant domestic and international ETFs	16-Sep-09
Sigma Investment Advisors	Domestic/international equity and fixed income ETFs	13-Jun-12
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