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ETF Watch: iShares Plans Nonfinancials Bond ETF
By Heather Bell | October 23, 2012

Related ETFs: LQD / HDGE / NOMO / BTAH / QLT / IEFA / IEMG / IXUS / ISTB

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Editor's Note: As of the start of 2012, ETF Watch has transitioned to daily updates, rather than weekly.

 

THURSDAY, OCT. 25

iShares Plans Non-Financials Corporate Bond ETF
iShares has filed for an ETF that wil seek to cover the broad investment-grade corporate debt market, except for bonds issued by financials companies. The iShares Corporate Bond Fund, unlike the iShares iBoxx $ Investment Grade Corporate Bond Fund (NYSEArca: LQD), will also hold dollar-denominated debt from non-U.S. issuers. The filing did not include a ticker or expense ratio.

AdvisorShares Changing HDGE's Name
The AdvisorShares Active Bear ETF (NYSE Arca: HDGE) will be known as the AdvisorShares Ranger Equity Bear ETF as of Oct. 29. No other changes will be made to the fund, but the move brings the fund's name in line with AdvisorShares' regular practice of including the subadvisor in the names of its funds.

 

WEDNESDAY, OCT. 24

Van Eck Plans RMBS ETF
Van Eck Global recently filed for an ETF targeting nonagency residential mortgage-backed securities. The Market Vectors Non-Agency RMBS ETF will track an in-house index. The filing did not include a ticker or expense ratio.

 

TUESDAY, OCT. 23

QuantShares To Liquidate 3 Funds
QuantShares has announced it will be liquidating three of its seven ETFs. None of the funds has managed to accumulate more than $5 million in assets since they launched in September of last year. The three ETFs will stop trading on Nov. 2, with their complete liquidation scheduled for Nov. 19. The list of closing funds includes:

  • QuantShares U.S. Market Neutral High Beta Fund (NYSEArca: BTAH)
  • QuantShares U.S. Market Neutral Anti-Momentum Fund (NYSEArca: NOMO)
  • QuantShares U.S. Market Neutral Quality Fund (NYSEArca: QLT)

 

MONDAY, OCT. 22

iShares Launches 4 'Core' ETFs
On Monday, iShares debuted four ETFs that are part of its new 'Core' program. The new ETFs include three international funds that are similar to pre-existing iShares ETFs in terms of targeted regions, but with broader coverage and lower expense ratios. The four funds include:

  • iShares Core MSCI Total International Stock ETF (NYSEArca: IXUS), which has an expense ratio of 0.16 percent
  • iShares Core MSCI Emerging Markets ETF (NYSEArca: IEMG), which has an expense ratio of 0.18 percent
  • iShares Core MSCI EAFE ETF (NYSEArca: IEFA), which has an expense ratio of 0.14 percent
  • iShares Core Short-Term U.S. Bond ETF (NYSEArca: ISTB), which has an expense ratio of 0.12 percent

ETC Files For Forensic Accounting ETF
Exchange Traded Concepts recently filed for an ETF that will select its components based on earnings quality, as indicated by forensic accounting data. The Forensic Accounting ETF (NYSEArca: FLAG) tracks the Del Vecchio Earnings Quality Index, which uses forensic accounting standards to screen a universe of 500 large-cap stocks for accounting and performance issues to arrive at an index of approximately 400 components. The filing did not include an expense ratio.

 

ETFs Filed—By Fund Company

There are currently 939 ETFs in our list of prospectuses filed at the SEC.

You can click on any fund and link directly to the prospectus.

Fund Ticker Exchange ER
AdvisorShares
Pring Turner Dow Jones Business Cycle ETF DBIZ NYSE Arca N/A
Newfleet Multi-Sector Income ETF MINC NYSE Arca N/A

. . .
ALPS
Energy Producers ETF N/A N/A N/A
Precious Metals Producers ETF N/A N/A N/A
U.S. Equity Reverse Convertible Index Fund N/A N/A N/A
Riverfront Strategic Income ETF N/A N/A 0.24%
Alerian Natural Gas ETF N/A NYSE Arca N/A
Alerian Plus MLP Infrastructure ETF N/A NYSE Arca N/A
U.S. Equity High Volatility Put Write Fund HVPW NYSE Arca 0.95%
ALPS/GS Risk-Adjusted Return US Large Cap Index ETF GSRA NYSE Arca N/A
ALPS/GS Momentum Builder Growth Markets Index ETF GSGO NYSE Arca N/A
ALPS/GS Momentum Builder Multi-Asset Index ETF GSMA NYSE Arca N/A
ALPS/GS Momentum Builder Asia Ex-Japan Index ETF GSAX NYSE Arca N/A
VelocityShares Tail Risk Hedged Large Cap ETF N/A N/A N/A
VelocityShares Volatility Hedged Large Cap ETF N/A N/A N/A
VelocityShares Emerging Markets Depositary Receipt ETF N/A Nasdaq GM N/A
VelocityShares Russia Select Depositary Receipt ETF N/A Nasdaq GM N/A
VelocityShares Emerging Asia Depositary Receipt ETF N/A Nasdaq GM N/A

. . .
BlackRock - iShares
iShares S&P Global Listed Private Equity Fund N/A N/A N/A
iShares MSCI Egypt Capped Investable Market Index Fund N/A NYSE Arca N/A
iShares Copper Trust N/A N/A N/A
iShares FTSE China A50 Index Fund N/A N/A N/A
iShares 2018 S&P AMT-Free Municipal Series N/A N/A N/A
iShares 2019 S&P AMT-Free Series N/A N/A N/A
iShares MSCI South Korea Small Cap Index Fund N/A N/A N/A
iShares MSCI Taiwan Small Cap Index Fund N/A N/A N/A
iShares MSCI Vietnam Investable Market Index Fund N/A N/A N/A
iShares DJ-UBS Roll Select Commodity Index Fund N/A N/A N/A
iShares Strategic Beta U.S. Small Cap Fund N/A N/A N/A
iShares Strategic Beta Developed International Small Cap Fund N/A N/A N/A
iShares Strategic Beta Developed International Large Cap Fund N/A N/A N/A
iShares Strategic Beta U.S. Large Cap Fund N/A N/A N/A
iShares Human Rights Index Fund N/A N/A N/A
iShares Ultrashort Bond Fund N/A N/A N/A
iShares Sovereign Screened Global Bond Fund N/A N/A N/A
iShares Latin America Bond Fund N/A N/A N/A

iShares Australian Dollar Cash Rate Fund

 N/A N/A N/A
iShares Singapore Dollar Cash Rate Fund N/A N/A N/A
iShares Swedish Krona Cash Rate Fund N/A N/A N/A
iShares Swiss Franc Cash Rate Fund N/A N/A N/A

iShares Thai Offshore Baht Cash Rate Fund

 N/A N/A N/A
iShares Turkish Lira Cash Rate Fund N/A N/A N/A
iShares British Pound Cash Rate Fund N/A N/A N/A
iShares Canadian Dollar Cash Rate Fund N/A N/A N/A
iShares Chinese Offshore Renminbi Cash Rate Fund N/A N/A N/A
iShares Euro Cash Rate Fund N/A N/A N/A
iShares Japanese Yen Cash Rate Fund N/A N/A N/A
iShares Mexican Peso Cash Rate Fund N/A N/A N/A
iShares New Zealand Dollar Cash Rate Fund N/A N/A N/A
iShares Norwegian Krone Cash Rate Fund N/A N/A N/A
Shares ACWI Investable Market Index Fund N/A N/A N/A
iShares Barclays Global Aggregate Bond Fund N/A N/A N/A
iShares Barclays Global Aggregate ex USD Bond Fund N/A N/A N/A
iShares Ultrashort Duration Bond Fund N/A N/A N/A
iShares MSCI USA High Dividend Yield Index Fund N/A N/A N/A
iShares MSCI GCC Countries ex Saudi Arabia Index Fund N/A N/A N/A
iShares MSCI EFM Africa ex South Africa Fund N/A N/A N/A
iShares Corporate Bond Fund N/A N/A N/A
BNP Paribas
BNP Paribas Enhanced Volatility Fund N/A N/A 1.56%

. . .
Charles Schwab
Schwab U.S. Small-Cap Growth ETF SCHJ NYSE Arca N/A
Schwab U.S. Small-Cap Value ETF SCHK NYSE Arca N/A

. . .
Claremont Investment Partners
NASDAQ OMX Industry Leaders Index Fund LEAD NASDAQ 0.49%

. . .
Columbia Management
Columbia International Equity ETF N/A N/A N/A
Columbia Enhanced Liquidity ETF N/A NYSE Arca 0.30%
Columbia Emerging Markets Bond ETF N/A NYSE Arca 0.95%
Columbia AMT-Free Muni Target 2015 ETF N/A NYSE Arca N/A
Columbia AMT-Free Muni Target 2016 ETF N/A NYSE Arca N/A

Columbia AMT-Free Muni Target 2017 ETF

 N/A NYSE Arca N/A
Columbia AMT-Free Target 2018 ETF N/A NYSE Arca N/A
Columbia AMT-Free Target 2019 ETF N/A NYSE Arca N/A
Columbia Emerging Markets Equity ETF N/A NYSE Arca N/A
Columbia Dividend Income ETF N/A NYSE Arca N/A
Columbia Tax-Exempt ETF N/A NYSE Arca N/A
Columbia Pacific/Asia Equity ETF N/A NYSE Arca N/A
Columbia Small/Mid Cap Growth ETF N/A NYSE Arca N/A
Columbia European Equity ETF N/A NYSE Arca N/A
Columbia Limited Duration Credit ETF N/A NYSE Arca N/A
Columbia Short Term Bond ETF N/A NYSE Arca N/A
Columbia Small/Mid Cap Value ETF N/A NYSE Arca N/A
Columbia U.S. Government Mortgage ETF N/A NYSE Arca N/A

. . .
Direxion
Nasdaq-100 Bull 3X Shares N/A N/A 0.75%
Nasdaq-100 Bear 3X Shares N/A N/A 0.75%
Japan Bear 3X Shares N/A N/A 0.75%
Japan Bull 3X Shares N/A N/A 0.75%
Commodity Bull 3X Shares N/A N/A 0.75%
Commodity Bear 3X Shares N/A N/A 0.75%
Total Market Bull 3X Shares N/A N/A 0.95%
Total Market Bull 3X Shares N/A N/A 0.95%
Dow 30 Bull 3X Shares, N/A N/A 0.75%
Dow 30 Bear 3X Shares N/A N/A 0.75%
Homebuilders Bull 3X Shares N/A N/A 0.95%
Homebuilders Bear 3X Shares N/A N/A 0.95%
Clean Energy Bull 3X Shares N/A N/A 0.95%
Clean Energy Bear 3X Shares N/A N/A 0.95%
5-Year Treasury Bull 3X Shares N/A N/A 0.95%
5-Year Treasury Bear 3X Shares N/A N/A 0.95%
Direxion Daily S&P 500 Bull 3X Shares N/A N/A 0.95%
Direxion Daily S&P 500 Bear 3X Shares N/A N/A 0.95%
Direxion Daily Consumer Discretionary Bull 3X Shares N/A N/A 0.95%
Direxion Daily Consumer Discretionary Bear 3X Shares N/A N/A 0.95%
Direxion Daily Consumer Staples Bull 3X Shares N/A N/A 0.95%
Direxion Daily Consumer Staples Bear 3X Shares N/A N/A 0.95%
Direxion Daily Utilities Bull 3X Shares N/A N/A 0.95%
Direxion Daily Utilities Bear 3X Shares N/A N/A 0.95%
Direxion Daily Brazil Bull 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Brazil Bear 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Canada Bull 2X Shares N/A NYSE Arca 0.95%
Direxion Daily Canada Bear 2X Shares N/A NYSE Arca 0.95%
Direxion Daily Commodity Related Bull 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Commodity Related Bear 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Global Infrastructure Bull 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Global Infrastructure Bear 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Indonesia Bull 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Indonesia Bear 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Malaysia Bull 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Malaysia Bear 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Regional Banks Bull 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Regional Banks Bear 3X Shares N/A NYSE Arca 0.95%
Direxion Daily South Korea Bull 3X Shares N/A NYSE Arca 0.95%
Direxion Daily South Korea Bear 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Taiwan Bull 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Taiwan Bear 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Thailand Bull 3X Shares NYSE Arca 0.95%
Direxion Daily Thailand Bear 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Water Bull 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Water Bear 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Wind Energy Bull 3X Shares N/A NYSE Arca 0.95%
Direxion Daily Wind Energy Bear 3X Shares N/A NYSE Arca 0.95%
Direxion Auto Shares N/A NYSE Arca 0.35%
Direxion Daily Gold Bull 3X Shares N/A NYSE Arca N/A
Direxion Daily Gold Bear 3X Shares N/A NYSE Arca N/A
Direxion Daily Silver Bull 3X Shares N/A NYSE Arca N/A
Direxion Daily Silver Bear 3X Shares N/A NYSE Arca N/A
Direxion Daily Japanese Yen Bull 3X Shares N/A NYSE Arca N/A
Direxion Daily Japanese Yen Bear 3X Shares N/A NYSE Arca N/A
Direxion Daily Euro Bull 3X Shares N/A NYSE Arca N/A
Direxion Daily Euro Bear 3X Shares N/A NYSE Arca N/A
Direxion Daily Dollar Bull 3X Shares N/A NYSE Arca N/A
Direxion Daily Dollar Bear 3X Shares N/A NYSE Arca N/A
Direxion S&P 500 Dynamic VEQTOR Shares N/A NYSE Arca N/A
Direxion Daily Corporate Bond Bear 1X Shares N/A N/A N/A
Direxion Daily Corporate Bond Bear 3X Shares N/A N/A N/A
Direxion Daily Corporate Bond Bull 3X Shares N/A N/A N/A
Direxion Daily Developed Markets Bear 1X Shares N/A N/A N/A
Direxion Daily Dow 30 Bear 1X Shares N/A N/A N/A
Direxion Daily Emerging Market Bear 1X Shares N/A N/A N/A
Direxion Daily High Yield Bear 3X Shares N/A N/A N/A
Direxion Daily High Yield Bull 3X Shares N/A N/A N/A
Direxion Daily Large Cap Bear 1X Shares N/A N/A N/A
Direxion Daily Large Cap Growth Bear 3X Shares N/A N/A N/A
Direxion Daily Large Cap Growth Bull 3X Shares N/A N/A N/A
Direxion Daily Large Cap Value Bear 3X Shares N/A N/A N/A
Direxion Daily Large Cap Value Bull 3X Shares N/A N/A N/A
Direxion Daily Municipal Bear 3X Shares N/A N/A N/A
Direxion Daily Municipal Bond Bull 3X Shares N/A N/A N/A
Direxion Daily Small Cap Bear 1X Shares N/A N/A N/A
Direxion Daily TIPs Bear 3X Shares N/A N/A N/A
Direxion Daily TIPs Bull 3X Shares N/A N/A N/A
Direxion Daily Total Bond Market Bull 3X Shares N/A N/A N/A
Direxion NASDAQ Volatility Index Shares N/A N/A N/A
Direxion Wireless Communications Shares N/A N/A N/A
IndiaShares Fixed-Income Shares N/A N/A 0.95%
IndiaShares Mid- & Small- Cap Shares N/A N/A 0.95%
IndiaShares Consumer Shares N/A N/A 0.95%
IndiaShares Energy & Utilities Shares N/A N/A 0.95%
IndiaShares Financial Shares N/A N/A 0.95%
IndiaShares Industrial Shares N/A N/A 0.95%
IndiaShares Infrastructure Shares N/A N/A 0.95%
IndiaShares Materials Shares N/A N/A 0.95%
IndiaShares Technology & Telecommunication Shares N/A N/A 0.95%
Direxion S&P 600 Volatility Response Shares N/A N/A 0.65%
Direxion Daily Turkey Bull 3X Shares N/A N/A 0.95%
Direxion Daily Turkey Bear 3X Shares N/A N/A 0.95%
Direxion Daily Industrial Bull 3X Shares N/A N/A 0.95%
Direxion Daily Industrial Bear 3X Shares N/A N/A 0.95%
Direxion Daily Junior Gold Miners Index Bull 3X Shares N/A N/A 0.95%
Direxion Daily Junior Gold Miners Index Bear 3X Shares N/A N/A 0.95%
Direxion Daily Silver Miners Bull 3X Shares N/A N/A 0.95%
Direxion Daily Silver Miners Bear 3X Shares N/A N/A 0.95%
Direxion Primary Tactical Advantage Shares N/A N/A 0.65%
Quantum-ISE Enhanced Broad Market Shares N/A N/A 0.85%
Quantum-ISE Enhanced Large-Cap Shares N/A N/A 0.85%
Quantum-ISE Enhanced Small-Cap Shares N/A N/A 0.85%
Direxion Daily Dow 30 Bull 2X Shares N/A N/A 0.75%
Direxion Daily Dow 30 Bear 2X Shares N/A N/A 0.75%
Direxion Daily Dow 30 Bull 3X Shares N/A N/A 0.75%
Direxion Daily Dow 30 Bear 3X Shares N/A N/A 0.75%
Direxion Daily European Equity Bull 3X Shares N/A N/A 0.75%
Direxion Daily European Equity Bear 3X Shares N/A N/A 0.75%
EGA Emerging Global Shares Trust
Emerging Global Shares INDXX India Mid Cap Index Fund
N/A
NYSE Arca
0.85%
Emerging Global Shares INDXX China Mid Cap Index Fund
N/A
NYSE Arca
0.85%
Emerging Global Shares INDXX Brazil Mid Cap Index Fund
N/A
NYSE Arca
0.85%
Emerging Global Shares INDXX Growing Asia Large Cap Index Fund
N/A
NYSE Arca
0.85%
EG Shares India Financials ETF N/A NYSE Arca 0.89%
EG Shares India Health Care ETF N/A NYSE Arca 0.89%
EG Shares India Telecom ETF N/A NYSE Arca 0.89%
EG Shares India Industrials ETF N/A NYSE Arca 0.89%
EG Shares India Technology ETF N/A NYSE Arca 0.89%
EG Shares India Utilities ETF N/A NYSE Arca 0.89%
EG Shares India Basic Materials ETF N/A NYSE Arca 0.89%
EG Shares India Energy ETF N/A NYSE Arca 0.89%
EG Shares India High Income Low Beta ETF N/A NYSE Arca 0.89%
EG Shares Emerging Markets Food and Agriculture ETF N/A NYSE Arca 0.89%
EGShares Low Volatility China Dividend ETF N/A NYSE Arca 0.85%
EGShares Low Volatility Brazil Dividend ETF N/A NYSE Arca 0.85%
EGShares Turkey Small Cap ETF N/A NYSE Arca 0.85%
EGShares South Africa Small Cap ETF N/A NYSE Arca 0.85%
EGShares India Consumer Goods ETF N/A NYSE Arca 0.89%
EGShares Emerging Markets Consumer Small Cap ETF N/A NYSE Arca 0.85%
EGShares Emerging Markets Balanced Income ETF N/A NYSE Arca 0.75%
EGShares Emerging Markets Real Estate ETF N/A NYSE Arca 0.85%
EGShares Beyond BRICs Emerging Asia Small Cap ETF N/A NYSE Arca 0.85%
EGShares Beyond BRICs Emerging Asia Consumer ETF N/A NYSE Arca 0.85%
EGShares Beyond BRICs Emerging Asia Infrastructure ETF N/A NYSE Arca 0.85%
EGShares Emerging Markets Core Dividend ETF N/A NYSE Arca 0.70%
EGShares Emerging Markets Core Balanced ETF N/A NYSE Arca 0.60%

. . .
ETF Securities
ETFS ex-U.S. Oil N/A N/A N/A
ETFS Natural Gas N/A N/A N/A
ETFS Copper N/A N/A N/A
ETFS Wheat N/A N/A N/A
ETFS Composite Agriculture N/A N/A N/A
ETFS Composite Industrial Metals N/A N/A N/A
ETFS Composite Energy N/A N/A N/A
ETFS All Commodities N/A N/A N/A
ETFS Short ex-U.S. Oil N/A N/A N/A
ETFS Short Natural Gas N/A N/A N/A
ETFS Short Copper N/A N/A N/A
ETFS Short Wheat N/A N/A N/A
ETFS Short Gold N/A N/A N/A
ETFS Leveraged ex-U.S. Oil N/A N/A N/A
ETFS Leveraged Natural Gas N/A N/A N/A
ETFS Leveraged Copper N/A N/A N/A
ETFS Leveraged Wheat N/A N/A N/A
ETFS Leveraged Gold N/A N/A N/A
ETFS Physical Aluminum N/A N/A N/A
ETFS Physical Copper N/A N/A N/A
ETFS Physical Lead N/A N/A N/A
ETFS Physical Nickel N/A N/A N/A
ETFS Physical Tin N/A N/A N/A
ETFS Physical Zinc N/A N/A N/A
ETFS Physical IM Basket N/A N/A N/A

. . .
ETF Series Solutions
Zacks Sustainable Dividend ETF ZDIV Nasdaq 0.70%
Zacks MLP ETF ZMLP Nasdaq 0.75%

. . .
ETSpreads
ETSpreads High Yield CDS Tighten Fund N/A N/A N/A
ETSpreads High Yield CDS Widen Fund N/A N/A N/A
ETSpreads Investment Grade CDS Tighten Fund N/A N/A N/A
ETSpreads Investment Grade CDS Widen Fund N/A N/A N/A
ETS Offshore RMB Bond Fund N/A N/A N/A

. . .
Exchange Traded Concepts
KraneShares China Alternative Energy ETF N/A N/A N/A
KraneShares China Internet ETF N/A N/A N/A
KraneShares China Consumer Staples ETF N/A N/A N/A
KraneShares China Consumer Discretionary ETF N/A N/A N/A
KraneShares China Urbanization ETF N/A N/A N/A
KraneShares China Five Year Plan ETF N/A N/A N/A
Horizons S&P 500 Covered Call ETF N/A NYSE Arca N/A
Horizons S&P Energy Select Sector Covered Call ETF N/A NYSE Arca N/A
Horizons S&P Financial Select Sector Covered Call ETF N/A NYSE Arca N/A
Forensic Accounting ETF FLAG NYSE Arca N/A




FactorShares
PureFunds ISE Diamond/Gemstone ETF GEMS NYSE Arca 0.69%
PureFunds ISE Junior Silver ETF SILJ NYSE Arca 0.69%
PureFunds ISE Mining Service ETF MSXX NYSE Arca 0.69%
First Trust
First Trust Developed International Markets AlphaDEX Fund N/A N/A N/A
First Trust ISE Global Oil Refiners Index Fund N/A N/A N/A
First Trust Inflation Managed Fund N/A N/A N/A
First Trust Senior Loan Fund N/A N/A N/A
First Trust Preferred Securities and Income ETF N/A N/A N/A

First Trust Dividend AlphaDex Fund

 N/A NYSE Arca N/A

First Trust Emerging Markets Dividend AlphaDex Fund

 N/A NYSE Arca N/A

First Trust International Dividend AlphaDex Fund

 N/A NYSE Arca N/A
First Trust Global Commodity AlphaDex Fund N/A NYSE Arca N/A
First Trust Hedge Fund Manager Holdings Index Fund N/A N/A N/A
First Trust Global Agriculture AlphaDex Fund N/A N/A N/A
First Trust Morningstar Diversified Futures Fund N/A N/A N/A
First Trust Global Tactical Asset Allocation and Income Fund N/A N/A N/A
First Trust High Yield Fund N/A N/A N/A
First Trust High Yield Long/Short ETF N/A N/A N/A

. . .
Forum
Merk Hard Currency ETF HRD NYSE Arca N/A
Global X
Global X Egypt ETF N/A N/A N/A
Global X Philippines N/A N/A N/A
Global X Denmark ETF N/A N/A N/A
Global X Emerging Africa ETF N/A N/A N/A
Global X Finland ETF N/A N/A N/A
Global X Pakistan ETF N/A N/A N/A
Global X Poland ETF N/A N/A N/A
Global X United Arab Emirates ETF N/A N/A N/A
Global X Platinum Miners ETF N/A NYSE Arca N/A
Global X Brazil Materials ETF N/A NYSE Arca N/A
Global X Brazil Industrials ETF N/A NYSE Arca N/A
Global X Brazil Utilities ETF N/A NYSE Arca N/A
Global X China Mid Cap ETF N/A NYSE Arca N/A
Global X Shipping ETF N/A NYSE Arca N/A
Global X Next 11 ETF NXTE NYSE Arca 0.75%
Global X UK Mid-Cap ETF N/A N/A N/A
Global X Germany Small-Cap ETF N/A N/A N/A
Global X Hong Kong Small-Cap ETF N/A N/A N/A
Global X Korea Small-Cap ETF N/A N/A N/A
Global X Singapore Small-Cap ETF N/A N/A N/A
Global X Taiwan Small-Cap ETF N/A N/A N/A
Global X Rare Earths ETF N/A N/A N/A
Global X Strategic Metals ETF N/A N/A N/A
Global X Super Dividend ETF N/A N/A N/A
Global X FTSE Portugal 20 ETF N/A NYSE Arca N/A
Global X FTSE Ukraine ETF N/A NYSE Arca N/A
Global X Hungary ETF N/A NYSE Arca N/A
Global X Luxembourg ETF N/A NYSE Arca N/A
Global X FTSE Morocco 20 ETF N/A NYSE Arca N/A
Global X Czech Republic ETF N/A NYSE Arca N/A
Global X Slovakia ETF N/A NYSE Arca N/A
Global X Qatar ETF N/A NYSE Arca N/A
Global X Kuwait ETF N/A NYSE Arca N/A
Global X Nigeria ETF N/A NYSE Arca N/A
Global X FTSE Bangladesh ETF N/A NYSE Arca N/A
Global X FTSE Sri Lanka ETF N/A NYSE Arca N/A
Global X Kazakhstan ETF N/A NYSE Arca N/A
Global X FTSE Frontier Markets ETF N/A NYSE Arca N/A
Global X Central America ETF N/A NYSE Arca N/A
Global X Central and Northern Europe ETF N/A NYSE Arca N/A
Global X Southern Europe ETF N/A NYSE Arca N/A
Global X Eastern Europe ETF N/A NYSE Arca N/A
Global X Central Asia ETF N/A NYSE Arca N/A
Global X Sub-Saharan Africa ETF N/A NYSE Arca N/A
Global X S&P Pan Arab ETF N/A NYSE Arca N/A
Global X FTSE Toll Roads & Ports ETF N/A N/A N/A
Global X FTSE Railroads ETF N/A N/A N/A
Global X Farmland & Timberland ETF N/A N/A N/A
Global X Cement ETF N/A N/A N/A
Global X Advanced Materials ETF N/A N/A N/A
Global X Nasdaq 100 Global Technology ETF N/A N/A N/A

Global X SuperIncome ETF

 N/A N/A N/A
Global X SuperIncome REIT ETF N/A N/A N/A
Global X MLP Natural Gas ETF N/A NYSE Arca N/A
Global X Top Value Guru Holdings ETF N/A N/A N/A
Global X Top Activist Investor Holdings ETF N/A N/A N/A
Global X Risk Parity ETF N/A N/A N/A
Global X Africa Consumer ETF N/A NYSE Arca N/A
Global X Latin America Consumer ETF N/A NYSE Arca N/A
Global X Asia Consumer ETF N/A NYSE Arca N/A
Global X Junior MLP ETF N/A NYSE Arca N/A
GreenHaven
GreenHaven Coal Index Fund N/A N/A N/A

. . .
Guggenheim
Guggenheim/S&P Commodity Trends Strategy ETF CTI NYSE Arca N/A
Guggenheim Active National Municipal ETF N/A N/A N/A
Guggenheim Laffer MacroEconomic Global Equity ETF N/A N/A N/A
Guggenheim China Consumer ETF RAO NYSE Arca 0.70%
Guggenheim China Infrastructure ETF GAO NYSE Arca 0.70%
Wilshire 5000 Equal-Weighted ETF N/A NYSE Arca N/A
Wilshire Large-Cap ETF N/A N/A N/A
Wilshire Large-Cap Growth ETF N/A N/A N/A
Wilshire Large-Cap Value ETF N/A N/A N/A
Wilshire Mid-Cap ETF N/A N/A N/A
Wilshire Mid-Cap Growth ETF N/A N/A N/A
Wilshire Mid-Cap Value ETF N/A N/A N/A
Wilshire Small-Cap ETF N/A N/A N/A
Wilshire Small-Cap Growth ETF N/A N/A N/A
Wilshire Small-Cap Value ETF N/A N/A N/A
Wilshire Ex-U.S. Real Estate ETF N/A NYSE Arca N/A
Guggenheim BulletShares 2019 High Yield Corporate Bond ETF N/A NYSE Arca N/A
Guggenheim BulletShares 2020 High Yield Corporate Bond ETF N/A NYSE Arca N/A
Guggenheim Enhanced Short Duration High Yield Bond ETF N/A N/A N/A
Guggenheim BMAC Commodity Producers ETF N/A N/A N/A
Guggenheim Small-Mid Cap BRIC ETF N/A N/A N/A
Guggenheim International High Dividend ETF N/A N/A N/A
Guggenheim Enhanced Adjustable Rate Senior Loan ETF N/A N/A N/A
Guggenheim BulletShares 2021 Corporate Bond ETF N/A NYSE Arca N/A

. . .
IndexIQ
IQ Hedge Long/Short Equity N/A N/A N/A
IQ Hedge Event-Driven N/A N/A N/A
IQ Hedge Equal Weight Multi-Strategy Tracker ETF N/A N/A N/A
IQ Hedge Asset Weight Multi-Strategy Tracker ETF N/A N/A N/A
IQ Hedge Inverse Multi-Strategy Tracker ETF N/A N/A N/A
IQ Hedge Distressed Tracker ETF N/A N/A N/A
IQ Hedge Convertible Arbitrage Tracker ETF N/A N/A N/A
IQ Hedge Dedicated Short Bias Tracker ETF N/A N/A N/A
IQ Hedge Managed Futures Tracker ETF N/A N/A N/A
IQ Hedge Market Directional Tracker ETF N/A N/A N/A
IQ Hedge Absolute Return Tracker ETF N/A N/A N/A
IQ Hedge Relative Value Tracker ETF N/A N/A N/A
IQ ARB Global Real Estate ETF N/A N/A N/A
IQ ARB Global Infrastructure ETF N/A N/A N/A
IQ International Indonesia Small Cap ETF N/A N/A N/A
IQ International Malaysia Small Cap ETF N/A N/A N/A
IQ International Singapore Small Cap ETF N/A N/A N/A
IQ International Thailand Small Cap ETF N/A N/A N/A
IQ Global Natural Gas Small Cap Equity ETF N/A N/A N/A
IQ Global Gold Small Cap Equity ETF N/A N/A N/A
IQ Mexico Small Cap ETF N/A N/A N/A
IQ Asian Tigers ETF N/A N/A N/A
IQ Asian Tigers Consumer ETF N/A N/A N/A
IQ Asian Tigers Small Cap ETF N/A N/A N/A
IQ Asia Pacific ex-Japan Small Cap ETF N/A N/A N/A
IQ Australia Mid Cap ETF N/A N/A N/A
IQ Canada Mid Cap ETF N/A N/A N/A
IQ Global Precious Metals Small Cap ETF N/A N/A N/A
IQ U.S. Real Estate Small Cap ETF N/A N/A N/A
IQ Physical Diamond Trust N/A N/A N/A
IQ Global Equity ETF N/A N/A N/A
IQ Long/Short Alpha ETF N/A N/A N/A
IQ Short Alpha ETF N/A N/A N/A
IQ Bear Large Cap U.S. Equity ETF N/A N/A N/A
IQ Bear Small Cap U.S. Equity ETF N/A N/A N/A
IQ Bear Non-Financial U.S. Equity ETF N/A N/A N/A
IQ Bear Industry Leaders U.S. Equity ETF N/A N/A N/A
IQ Bear International Equity ETF N/A N/A N/A
IQ Bear Emerging Markets Equity ETF N/A N/A N/A
J.P. Morgan
J.P. Morgan Physical Copper Shares ETF N/A N/A N/A

. . .
Javelin (JETS)
JETS DEEP Value Index Fund N/A N/A N/A

. . .
Jefferies
Jefferies Natural Gas Equity ETF N/A N/A N/A
Jefferies TR/J CRB Commodity Index ETF N/A N/A N/A
Jefferies Commodity Real Return ETF N/A N/A N/A
Jefferies S&P 500 VIX Short-Term Futures ETF VIXX NYSE Arca 0.49

. . .
John Hancock
John Hancock Global Balanced ETF N/A NYSE Arca N/A

. . .
KraneShares
KraneShares Dow Jones China Select Dividend ETF N/A N/A N/A

. . .
Legg Mason
Legg Mason Western Asset Ultra-Short Duration ETF N/A N/A N/A
LocalShares
LocalShares Nashville ETF N/A NYSE Arca 0.49%

. . .
Merk Investments
Merk Gold Trust
 OUNZ NYSE Arca N/A

. . .
Northern Lights
ArrowShares Global ETF N/A N/A N/A

. . .
Northern Trust
FlexShares iBoxx 7-Year Target Duration TIPS Index Fund N/A N/A N/A
FlexShares Quality Dividend Index Fund N/A NYSE Arca N/A
FlexShares Quality Dividend Dynamic Index Fund N/A NYSE Arca N/A
FlexShares Quality Dividend Defensive Index Fund N/A NYSE Arca N/A
FlexShares International Quality Dividend Index Fund N/A NYSE Arca N/A
FlexShares International Quality Dividend Dynamic Index Fund N/A NYSE Arca N/A
FlexShares International Quality Dividend Defensive Index Fund N/A NYSE Arca N/A

. . .
Pax World
sShares FTSE Environmental Technologies (ET50) Index ETF N/A N/A 0.60%

. . .
PIMCO
Pimco Short Maturity U.S. TIPS Index Fund N/A N/A N/A
Pimco Government Limited Maturity Strategy Fund N/A N/A N/A
Pimco Prime Limited Maturity Strategy Fund N/A N/A N/A
Pimco 0-1 Year U.S. Treasury Index Fund N/A N/A N/A
Pimco 0-3 Year Banking Sector Corporate Bond Index Fund N/A NYSE Arca N/A
Pimco Emerging Markets Aggregate US $ Denominated Bond Index Fund N/A NYSE Arca N/A
Pimco High Yield Corporate Bond Index Fund N/A NYSE Arca N/A
Pimco Foreign Currency Strategy N/A NYSE Arca N/A
Pimco Diversified Income ETF N/A N/A N/A
Pimco Low-Duration ETF N/A N/A N/A
Pimco Real Return ETF N/A N/A N/A

. . .
PowerShares
PowerShares Zacks Rank Large Cap Portfolio N/A N/A N/A
PowerShares Dynamic Internet Software and Services N/A N/A N/A
PowerShares Dynamic Developed Int'l Growth Portfolio N/A N/A N/A
PowerShares Dynamic Developed Int'l Value Portfolio N/A N/A N/A
PowerShares Dynamic Australia N/A N/A N/A
PowerShares Dynamic Canada N/A N/A N/A
PowerShares Dynamic Germany N/A N/A N/A
PowerShares Dynamic France N/A N/A N/A
PowerShares Dynamic Japan N/A N/A N/A
PowerShares Dynamic UK N/A N/A N/A
PowerShares FTSE RAFI Latin America Portfolio N/A N/A N/A
PowerShares FTSE RAFI Australia N/A N/A N/A
PowerShares FTSE RAFI Brazil N/A N/A N/A
PowerShares FTSE RAFI Canada N/A N/A N/A
PowerShares FTSE RAFI China N/A N/A N/A
PowerShares FTSE RAFI France N/A N/A N/A
PowerShares FTSE RAFI Germany N/A N/A N/A
PowerShares FTSE RAFI Hong Kong N/A N/A N/A
PowerShares FTSE RAFI Mexico N/A N/A N/A
PowerShares FTSE RAFI South Africa N/A N/A N/A
PowerShares FTSE RAFI South Korea N/A N/A N/A
PowerShares FTSE RAFI Taiwan N/A N/A N/A
PowerShares FTSE RAFI UK N/A N/A N/A
PowerShares 1-5 Laddered Treasury N/A N/A N/A
PowerShares 1-10 Laddered Treasury N/A N/A N/A
PowerShares 1-20 Laddered Treasury N/A N/A N/A
PowerShares Aggregate Bond N/A N/A N/A
PowerShares Intermediate Build America Bond Portfolio BABI NYSE Arca N/A
PowerShares Investment Grade Corporate Bond N/A N/A N/A
PowerShares Ireland Portfolio N/A N/A N/A
PowerShares Financial Corporate Bond Portfolio N/A N/A N/A
PowerShares Industrial Corporate Bond Portfolio N/A N/A N/A
PowerShares Utilities Corporate Bond Portfolio N/A N/A N/A
PowerShares S&P 500 Low Beta Portfolio N/A N/A N/A
PowerShares S&P 500 High Momentum Portfolio N/A N/A N/A
PowerShares S&P 500 High Volatility Beta Portfolio N/A N/A N/A
PowerShares CSI Fundamental Greater China Portfolio N/A N/A N/A
PowerShares Equity Allocation Portfolio N/A N/A N/A
PowerShares Commodity Rotation Portfolio N/A N/A N/A
PowerShares Fundamental Emerging Markets Local Debt Portfolio N/A N/A N/A

. . .
ProShares
ProShares Barron's 400 N/A N/A 0.95%
ProShares Ultra S&P 500 Growth N/A N/A 0.95%
ProShares Short S&P 500 Growth N/A N/A 0.95%
ProShares UltraShort S&P 500 Growth N/A N/A 0.95%
ProShares Ultra S&P 500 Value N/A N/A 0.95%
ProShares Short S&P 500 Value N/A N/A 0.95%
ProShares UltraShort S&P 500 Value N/A N/A 0.95%
ProShares Ultra S&P MidCap 400 Growth N/A N/A 0.95%
ProShares Short S&P MidCap 400 Growth N/A N/A 0.95%
ProShares UltraShort S&P MidCap 400 Growth N/A N/A 0.95%
ProShares Ultra S&P Small Cap 600 Growth N/A N/A 0.95%
ProShares Short S&P Small Cap 600 Growth N/A N/A 0.95%
ProShares UltraShort S&P Small Cap 600 Growth N/A N/A 0.95%
ProShares Ultra S&P Small Cap 600 Value N/A N/A 0.95%
ProShares Short S&P Small Cap 600 Value N/A N/A 0.95%
ProShares UltraShort S&P Small Cap 600 Value N/A N/A 0.95%
ProShares Ultra U.S. Biotechnology N/A N/A 0.95%
ProShares UltraShort U.S. Biotechnology N/A N/A 0.95%
ProShares Ultra U.S. Precious Metals N/A N/A 0.95%
ProShares UltraShort U.S. Precious Metals N/A N/A 0.95%
ProShares Short Biotechnology N/A N/A 0.95%
ProShares Short Consumer Goods N/A N/A 0.95%
ProShares Short Consumer Services N/A N/A 0.95%
ProShares Short Healthcare N/A N/A 0.95%
ProShares Short Industrial N/A N/A 0.95%
ProShares Short Precious Metals N/A N/A 0.95%
ProShares Short Semiconductors N/A N/A 0.95%
ProShares Short Technology N/A N/A 0.95%
ProShares Short Telecommunications N/A N/A 0.95%
ProShares Short Utilities N/A N/A 0.95%
ProShares Short NASDAQ Biotechnology N/A N/A 0.95%
ProShares Ultra Dow Jones Select Biotechnology N/A N/A 0.95%
ProShares Short Dow Jones Select Biotechnology N/A N/A 0.95%
ProShares Ultra Short Dow Jones Select Biotechnology N/A N/A 0.95%
ProShares Ultra Dow Jones Select Telecommunications N/A N/A 0.95%
ProShares Short Dow Jones Select Telecommunications N/A N/A 0.95%
ProShares Ultra Short Dow Jones Select Telecommunications N/A N/A 0.95%
ProShares Short Japan N/A N/A 0.95%
ProShares Short Lehman Brothers 7-10 Year U.S. Treasury N/A N/A 0.95%
ProShares Short Lehman Brothers 20+ Year U.S. Treasury N/A N/A 0.95%
ProShares Ultra Short iBoxx $ Liquid Investment Grade N/A N/A 0.95%
ProShares Ultra Short iBoxx $ Liquid High Yield N/A N/A 0.95%
ProShares Ultra NASDAQ-100 Equal Weighted N/A NDAQ 0.95%
ProShares Short NASDAQ-100 Equal Weighted N/A NDAQ 0.95%
ProShares UltraShort NASDAQ-100 Equal Weighted N/A N/A 0.95%
ProShares Ultra NASDAQ Composite N/A NDAQ 0.95%
ProShares Short NASDAQ Composite N/A NDAQ 0.95%
ProShares UltraShort NASDAQ Composite N/A NDAQ 0.95%
ProShares Ultra NASDAQ Biotechnology Equal-Weighted N/A NDAQ 0.95%
ProShares Short NASDAQ Biotechnology Equal-Weighted N/A NDAQ 0.95%
ProShares UltraShort NASDAQ Biotechnology Equal-Weighted N/A NDAQ 0.95%
ProShares Ultra NASDAQ Clean Edge US Liquid Series N/A NDAQ 0.95%
ProShares Ultra DJ Wilshire Total Market N/A N/A 0.95%
ProShares UltraShort DJ Wilshire Total Market N/A N/A 0.95%
ProShares UltraShort MSCI Australia N/A N/A 0.95%
ProShares UltraShort MSCI BRIC N/A N/A 0.95%
ProShares UltraShort MSCI Latin America N/A N/A 0.95%
ProShares UltraShort MSCI South Korea N/A N/A 0.95%
ProShares UltraShort MSCI Taiwan N/A N/A 0.95%
ProShares UltraShort S&P Europe 350 N/A N/A 0.95%
ProShares Short Dow Jones – AIG Commodity Index N/A N/A 0.95%
ProShares Ultra Dow Jones – AIG Commodity Agriculture N/A N/A 0.95%
ProShares Short Dow Jones – AIG Commodity Agriculture N/A N/A 0.95%
ProShares UltraShort Dow Jones – AIG Commodity Agriculture N/A N/A 0.95%
ProShares Ultra Dow Jones – AIG Commodity Industrial Metals N/A N/A 0.95%
ProShares Short Dow Jones – AIG Commodity Industrial Metals N/A N/A 0.95%
ProShares UltraShort Dow Jones – AIG Commodity Industrial Metals N/A N/A 0.95%
ProShares Ultra Dow Jones – AIG Commodity Precious Metals N/A N/A 0.95%
ProShares Short Dow Jones – AIG Commodity Precious Metals N/A N/A 0.95%
ProShares UltraShort Dow Jones – AIG Commodity Precious Metals N/A N/A 0.95%
ProShares Short Gold N/A N/A 0.95%
ProShares Short Silver N/A N/A 0.95%
ProShares Short Crude Oil N/A N/A 0.95%
ProShares Short Natural Gas N/A N/A 0.95%
ProShares Short Euro N/A N/A 0.95%
ProShares Ultra Australian Dollar N/A N/A 0.95%
ProShares Short Australian Dollar N/A N/A 0.95%
ProShares UltraShort Australian Dollar N/A N/A 0.95%
ProShares Ultra Canadian Dollar N/A N/A 0.95%
ProShares Short Canadian Dollar N/A N/A 0.95%
ProShares UltraShort Canadian Dollar N/A N/A 0.95%
ProShares Ultra British Pound N/A N/A 0.95%
ProShares Short British Pound N/A N/A 0.95%
ProShares UltraShort British Pound N/A N/A 0.95%
ProShares Short Japanese Yen N/A N/A 0.95%
ProShares Ultra Mexican Peso N/A N/A 0.95%
ProShares Short Mexican Peso N/A N/A 0.95%
ProShares UltraShort Mexican Peso N/A N/A 0.95%
ProShares Ultra Swedish Krona N/A N/A 0.95%
ProShares Short Swedish Krona N/A N/A 0.95%
ProShares UltraShort Swedish Krona N/A N/A 0.95%
ProShares Ultra Swiss Franc N/A N/A 0.95%
ProShares Short Swiss Franc N/A N/A 0.95%
ProShares CDX North America High Yield N/A N/A 0.95%
ProShares CDX North America Investment Grade N/A N/A 0.95%
Pro Shares Short CDX North America High Yield N/A N/A N/A
Pro Shares Short CDX North America Investment Grade N/A N/A N/A
Pro Shares UltraShort CDX North America High Yield N/A N/A N/A
Pro Shares UltraShort CDX North America Investment Grade N/A N/A N/A
ProShares Ultra CDX North America High Yield N/A N/A N/A
ProShares Ultra CDX North America Investment Grade N/A N/A N/A
ProShares UltraPro MSCI EAFE N/A N/A N/A
ProShares UltraPro MSCI Emerging Markets N/A N/A N/A
ProShares UltraPro 7-10 Year Treasury N/A N/A N/A
ProShares UltraPro 20+ Year Treasury N/A N/A N/A
ProShares UltraPro Short MSCI EAFE N/A N/A N/A
ProShares UltraPro Short MSCI Emerging Markets N/A N/A N/A
ProShares UltraPro Short 7-10 Year Treasury N/A N/A N/A
ProShares UltraShort KBW Regional Banking N/A N/A 0.95%
ProShares Ultra 3-7 Year Treasury N/A N/A 0.95%
ProShares UltraPro 3-7 Year Treasury N/A N/A 0.95%
ProShares Short 3-7 Year Treasury N/A N/A 0.95%
ProShares UltraShort 3-7 Year Treasury N/A N/A 0.95%
ProShares UltraPro Short 3-7 Year Treasury N/A N/A 0.95%
ProShares Ultra Tips N/A N/A 0.95%
ProShares Short TIPs N/A N/A 0.95%
ProShares Ultra MSCI Canada N/A N/A 0.95%
ProShares Short MSCI Canada N/A N/A 0.95%
ProShares UltraShort MSCI Canada N/A N/A 0.95%
ProShares Ultra Gold Miners N/A N/A 0.95%
ProShares Short Gold Miners N/A N/A 0.95%
ProShares UltraShort Gold Miners N/A N/A 0.95%
ProShares Ultra S&P Retail N/A N/A 0.95%
ProShares Short S&P Retail N/A N/A 0.95%
ProShares Ultra Short S&P Retail N/A N/A 0.95%
ProShares Sovereign Fiscal Strength ETF N/A N/A N/A
ProShares Managed Futures Strategy N/A N/A N/A
ProShares Commodity Managed Futures Strategy N/A N/A N/A
ProShares Financial Managed Futures Strategy N/A N/A N/A
ProShares Nasdaq 100 – 15 % Volatility Target N/A N/A N/A
ProShares Dow 30 – 15% Volatility Target N/A N/A N/A
ProShares Russell 2000 – 15% Volatility Target N/A N/A N/A
ProShares Russell 1000 – 15% Volatility Target N/A N/A N/A
ProShares MSCI EAFE – 15% Volatility Target N/A N/A N/A
ProShares MSCI Emerging Markets – 15% Volatility Target N/A N/A N/A
ProShares S&P MidCap400 – 15% Volatility Target N/A N/A N/A
ProShares UltraPro Oil & Gas ETF N/A N/A N/A
ProShares UltraPro Short Oil & Gas ETF N/A N/A N/A
ProShares Merger Arbitrage ETF N/A N/A N/A
ProShares Listed Private Equity ETF N/A N/A N/A

. . .
Pyxis Funds
Pyxis/iBoxx Liquid Loan ETF LQLN Nasdaq N/A

. . .
QuantShares
QuantShares U.S. High Dividend Absolute Return Fund N/A NYSE Arca N/A
QuantShares U.S. High Momentum Fund N/A NYSE Arca N/A
QuantShares U.S. High Quality Fund N/A NYSE Arca N/A
QuantShares U.S. Low Beta Absolute Return Fund N/A NYSE Arca N/A
QuantShares U.S. Low Beta Fund N/A NYSE Arca N/A
QuantShares U.S. Relative Value Fund N/A NYSE Arca N/A
Revenue Shares
RevenueShares S&P 500 Consumer Discretionary Sector Fund N/A N/A N/A
RevenueShares S&P 500 Consumer Staples Sector Fund N/A N/A N/A
RevenueShares S&P 500 Energy Sector Fund N/A N/A N/A
RevenueShares S&P 500 Health Care Sector Fund N/A N/A N/A
RevenueShares S&P 500 Industrials Sector Fund N/A N/A N/A
RevenueShares S&P 500 Information Technology Sector Fund N/A N/A N/A
RevenueShares S&P 500 Materials Sector Fund N/A N/A N/A
RevenueShares S&P 500 Utilities Sector Fund N/A N/A N/A

. . .
Russell
Russell Developed Ex US Large Cap ETF N/A N/A N/A
Russell Emerging Markets Large Cap ETF N/A N/A N/A
Russell Small & Mid Cap Defensive Value ETF N/A N/A N/A
Russell Small Cap Defensive Value ETF N/A N/A N/A
Russell Global Opportunity ETF ONEO NYSE Arca N/A
Russell Bond ETF ONEB NYSE Arca N/A
Russell Real Return ETF ONER NYSE Arca N/A
Russell Total Return Fixed Income ETF N/A N/A N/A
Russell Core Fixed Income ETF N/A N/A N/A
Russell Emerging Markets Fixed Income ETF N/A N/A N/A
Russell Large Cap ETF N/A N/A N/A
Russell Large Cap Growth ETF N/A N/A N/A
Russell Large Cap Value ETF N/A N/A N/A
Russell All Cap ETF N/A N/A N/A
Russell Mid Cap ETF N/A N/A N/A
Russell Small Cap ETF N/A N/A N/A
Russell International High Dividend Yield ETF IDIV N/A N/A

. . .
Rydex Funds
Rydex Inverse S&P 500 N/A N/A N/A
Rydex Dynamic S&P 500 Growth N/A N/A N/A
Rydex Inverse S&P 500 Growth N/A N/A N/A
Rydex Dynamic Inverse S&P 500 Growth N/A N/A N/A
Rydex Dynamic S&P 500 Value N/A N/A N/A
Rydex Inverse S&P 500 Value N/A N/A N/A
Rydex Dynamic Inverse S&P 500 Value N/A N/A N/A
Rydex Inverse S&P MidCap 400 N/A N/A N/A
Rydex Dynamic S&P MidCap 400 Growth N/A N/A N/A
Rydex Inverse S&P MidCap 400 Growth N/A N/A N/A
Rydex Dynamic Inverse S&P MidCap 400 Growth N/A N/A N/A
Rydex Dynamic S&P MidCap 400 Value N/A N/A N/A
Rydex Inverse S&P MidCap 400 Value N/A N/A N/A
Rydex Dynamic Inverse S&P MidCap 400 Value N/A N/A N/A
Rydex Dynamic S&P SmallCap 600 N/A N/A N/A
Rydex Inverse S&P SmallCap 600 N/A N/A N/A
Rydex Dynamic Inverse S&P SmallCap 600 N/A N/A N/A
Rydex Dynamic S&P SmallCap 600 Growth N/A N/A N/A
Rydex Inverse S&P SmallCap 600 Growth N/A N/A N/A
Rydex Dynamic Inverse S&P SmallCap 600 Growth N/A N/A N/A
Rydex Dynamic S&P SmallCap 600 Value N/A N/A N/A
Rydex Inverse S&P SmallCap 600 Value N/A N/A N/A
Rydex Dynamic Inverse S&P SmallCap 600 Value N/A N/A N/A
Rydex Dynamic Russell 1000 N/A N/A N/A
Rydex Inverse Russell 1000 N/A N/A N/A
Rydex Dynamic Inverse Russell 1000 N/A N/A N/A
Rydex Dynamic Russell 1000 Growth N/A N/A N/A
Rydex Inverse Russell 1000 Growth N/A N/A N/A
Rydex Dynamic Inverse Russell 1000 Growth N/A N/A N/A
Rydex Dynamic Russell 1000 Value N/A N/A N/A
Rydex Inverse Russell 1000 Value N/A N/A N/A
Rydex Dynamic Inverse Russell 1000 Value N/A N/A N/A
Rydex Inverse Russell 2000 N/A N/A N/A
Rydex Dynamic Russell 2000 Growth N/A N/A N/A
Rydex Inverse Russell 2000 Growth N/A N/A N/A
Rydex Dynamic Inverse Russell 2000 Growth N/A N/A N/A
Rydex Dynamic Russell 2000 Value N/A N/A N/A
Rydex Inverse Russell 2000 Value N/A N/A N/A
Rydex Dynamic Inverse Russell 2000 Value N/A N/A N/A
Rydex Dynamic Russell MidCap N/A N/A N/A
Rydex Inverse Russell MidCap N/A N/A N/A
Rydex Dynamic Inverse Russell MidCap N/A N/A N/A
Rydex Dynamic Russell MidCap Growth N/A N/A N/A
Rydex Inverse Russell MidCap Growth N/A N/A N/A
Rydex Dynamic Inverse Russell MidCap Growth N/A N/A N/A
Rydex Dynamic Russell MidCap Value N/A N/A N/A
Rydex Inverse Russell MidCap Value N/A N/A N/A
Rydex Dynamic Inverse Russell MidCap Value N/A N/A N/A
Rydex Dynamic Russell 3000 N/A N/A N/A
Rydex Inverse Russell 3000 N/A N/A N/A
Rydex Dynamic Inverse Russell 3000 N/A N/A N/A
Rydex Dynamic Russell 3000 Growth N/A N/A N/A
Rydex Inverse Russell 3000 Growth N/A N/A N/A
Rydex Dynamic Inverse Russell 3000 Growth N/A N/A N/A
Rydex Dynamic Russell 3000 Value N/A N/A N/A
Rydex Inverse Russell 3000 Value N/A N/A N/A
Rydex Dynamic Inverse Russell 3000 Value N/A N/A N/A
Rydex Dynamic Nasdaq-100 N/A N/A N/A
Rydex Inverse Nasdaq-100 N/A N/A N/A
Rydex Dynamic Inverse Nasdaq-100 N/A N/A N/A
Rydex Dynamic Nasdaq Biotechnology N/A N/A N/A
Rydex Inverse Nasdaq Biotechnology N/A N/A N/A
Rydex Dynamic Inverse Nasdaq Biotechnology N/A N/A N/A
Rydex Dynamic Consumer Discretionary N/A N/A N/A
Rydex Inverse Consumer Discretionary N/A N/A N/A
Rydex Dynamic Inverse Consumer Discretionary N/A N/A N/A
Rydex Dynamic Consumer Staples N/A N/A N/A
Rydex Inverse Consumer Staples N/A N/A N/A
Rydex Dynamic Inverse Consumer Staples N/A N/A N/A
Rydex Inverse Energy N/A N/A N/A
Rydex Inverse Financials N/A N/A N/A
Rydex Inverse Healthcare N/A N/A N/A
Rydex Dynamic Materials N/A N/A N/A
Rydex Inverse Materials N/A N/A N/A
Rydex Dynamic Inverse Materials N/A N/A N/A
Rydex Dynamic Utilities N/A N/A N/A
Rydex Inverse Utilities N/A N/A N/A
Rydex Dynamic Inverse Utilities N/A N/A N/A
Rydex Inverse Energy N/A N/A N/A
Rydex 2x Commodities Investing Fund N/A N/A 0.95%
Rydex 2x Energy Investing Fund N/A N/A 0.95%
Rydex 2x Precious Metals Investing Fund N/A N/A 0.95%
Rydex 2x Industrial Metals Investing Fund N/A N/A 0.95%
Rydex 2x Agricultural Investing Fund N/A N/A 0.95%
Rydex Inverse 2x Commodities Investing Fund N/A N/A 0.95%
Rydex 2x Inverse Energy Investing Fund N/A N/A 0.95%
Rydex Inverse 2x Precious Metals Investing Fund N/A N/A 0.95%
Rydex Inverse 2x Industrial Metals Investing Fund N/A N/A 0.95%
Rydex Inverse 2x Agricultural Investing Fund N/A N/A 0.95%
CurrencyShares Hong Kong Dollar Trust N/A N/A 0.40%
CurrencyShares Singapore Dollar Trust N/A N/A 0.40%
CurrencyShares South African Rand Trust N/A N/A 0.40%
Rydex Russell 1000 Growth Equal Weight ETF N/A N/A 0.55%
Rydex Russell 1000 Value Equal Weight ETF N/A N/A 0.55%
Rydex Russell 2000 Growth Equal Weight ETF N/A N/A 0.55%
Rydex Russell 2000 Value Equal Weight ETF N/A N/A 0.55%
Rydex Russell 3000 Growth Equal Weight ETF N/A N/A 0.55%
Rydex Russell 3000 Equal Weight ETF N/A N/A 0.55%
Rydex Russell Global 1000 Equal Weight ETF N/A N/A 0.70%
Rydex Russell Global Ex-U.S. Large Cap Equal Weight ETF N/A N/A 0.70%
Rydex Russell Emerging Markets Large Cap Equal Weight ETF N/A N/A 0.90%
Rydex Russell Emerging EMEA Large Cap Equal Weight ETF N/A N/A 0.90%
Rydex Russell 3000 Value Equal Weight ETF N/A N/A 0.55%
Rydex Russell BRIC Equal Weight ETF N/A N/A 0.90%
Rydex Russell Greater China Large Cap Equal Weight ETF N/A N/A 0.90%

. . .
Sage Quant
Sage Low Volatility Dividend Fund N/A N/A N/A

. . .
State Street Global Advisors
SPDR Barclays Global TIPS ETF N/A N/A N/A
SPDR Lehman Intermediate Term Corporate Bond IBE N/A N/A
SPDR Lehman Long Term Corporate Bond CLO N/A N/A
SPDR S&P Asia Pacific GAO N/A N/A
SPDR S&P EPAC GEK N/A N/A
SPDR S&P Europe GEU N/A N/A
SPDR Building & Construction N/A N/A N/A
SPDR Computer Hardware N/A N/A N/A
SPDR Leisuretime N/A N/A N/A
SPDR Outsourcing & IT Consulting N/A N/A N/A
SPDR S&P Emerging Markets South East Asia ETF N/A N/A N/A
SPDR S&P Emerging GCC-Middle East ETF N/A N/A N/A
SPDR S&P Emerging Africa ETF N/A N/A N/A
SPDR Ireland ETF N/A N/A N/A
SPDR S&P Commercial Paper ETF N/A N/A N/A
SPDR S&P Brazil ETF N/A N/A N/A
SPDR S&P India ETF N/A N/A N/A
SPDR S&P Food & Beverage ETF N/A N/A N/A
SPDR S&P Agency Bond ETF N/A NYSE Arca N/A
SPDR Barclays Capital Corporate Bond ETF N/A NYSE Arca N/A
SPDR Barclays Capital Corporate Industrial Bond ETF N/A NYSE Arca N/A
SPDR Barclays Capital Corporate Financial Bond ETF N/A NYSE Arca N/A
SPDR Barclays Capital Corporate Utilities Bond ETF N/A NYSE Arca N/A
SPDR Barclays Capital Zero Coupon Bond ETF N/A NYSE Arca N/A
SPDR Barclays Capital CMBS ETF N/A NYSE Arca N/A
SPDR Nuveen Barclays Capital 2012 Municipal Bond ETF N/A NYSE Arca N/A
SPDR Nuveen Barclays Capital 2013 Municipal Bond ETF N/A NYSE Arca N/A
SPDR Nuveen Barclays Capital 2014 Municipal Bond ETF N/A NYSE Arca N/A
SPDR Nuveen Barclays Capital 2015 Municipal Bond ETF N/A NYSE Arca N/A
SPDR Nuveen Barclays Capital 2016 Municipal Bond ETF N/A NYSE Arca N/A
SPDR Nuveen Barclays Capital 2017 Municipal Bond ETF N/A NYSE Arca N/A
SPDR Nuveen Barclays Capital 2018 Municipal Bond ETF N/A NYSE Arca N/A
SPDR Nuveen Barclays Capital 2019 Municipal Bond ETF N/A NYSE Arca N/A
SPDR Nuveen Barclays Capital 2020 Municipal Bond ETF N/A NYSE Arca N/A
SPDR Nuveen Barclays Capital 2021 Municipal Bond ETF N/A NYSE Arca N/A
SPDR S&P Small Cap Emerging Europe ETF N/A NYSE Arca N/A
SPDR S&P Small Cap Emerging Latin America ETF N/A NYSE Arca N/A
SPDR S&P Small Cap Emerging Middle East & Africa ETF N/A NYSE Arca N/A
SPDR S&P 1500 Value Tilt ETF N/A NYSE Arca N/A
SPDR S&P 1500 Momentum Tilt ETF N/A NYSE Arca N/A
SPDR S&P 1500 Volatility Tilt ETF N/A NYSE Arca N/A
SPDR Barclays Capital Global Convertible Securities ETF N/A NYSE Arca N/A
SSgA Conservative Allocation ETF N/A N/A N/A
SSgA Aggressive Allocation ETF N/A N/A N/A
SSgA Blackstone/GSO Senior Loan ETF N/A N/A N/A
SPDR Barclays Capital Breakeven Inflation ETF N/A N/A N/A
SPDR S&P Commercial Paper Ex-Financials ETF N/A N/A N/A
SPDR S&P MILA 40 ETF N/A N/A N/A
SPDR SSgA Ultra Short Term Bond ETF N/A N/A N/A
SPDR SSgA Conservative Ultra Short Term Bond ETF N/A N/A N/A
SPDR SSgA Aggressive Ultra Short Term Bond ETF N/A N/A N/A

. . .
US Commodity Funds
United States Natural Gas Double Inverse Fund UNGD NYSE Arca 1.12%
United States Sugar Fund USSF NYSE Arca 1.08%
United States Asian Commodity Basket Fund USABF NYSE Arca 0.90%
United States Golden Currency Fund HARD NYSE Arca 0.85%

. . .
Van Eck
Market Vectors - Emerging Europe N/A N/A N/A
Market Vectors - Global Frontier N/A N/A N/A
Market Vectors-Lehman Brothers California Municipal N/A N/A N/A
Market Vectors-Lehman Brothers New York Municipal N/A N/A N/A
Market Vectors-Lehman Brothers AMT-Free Massachusetts N/A N/A N/A
Market Vectors-Lehman Brothers AMT-Free New Jersey N/A N/A N/A
Market Vectors-Lehman Brothers AMT-Free Ohio N/A N/A N/A
Market Vectors-Lehman Brothers AMT-Free Pennsylvania N/A N/A N/A
Market Vectors - Municipal Index ETF N/A N/A N/A
Market Vectors - Kuwait N/A N/A N/A
Market Vectors High-Yield Floating Rate ETF N/A N/A N/A
Market Vectors Fixed Income II ETF N/A N/A N/A
Market Vectors Regional Sector ETF N/A N/A N/A
Market Vectors Metals ETF N/A N/A N/A
The Market Vectors GDP International Equity Index ETF N/A N/A N/A
Market Vectors GDP Emerging Markets Equity Index ETF N/A N/A N/A
Market Vectors MLP ETF Trust N/A NYSE Arca N/A
Market Vectors Asia ex-Japan Aggregate Bond ETF N/A NYSE Arca N/A
Market Vectors All China All-Cap ETF N/A N/A N/A
Market Vectors All China Consumer Discretionary Sector ETF N/A N/A N/A
Market Vectors All China Consumer Staples Sector ETF N/A N/A N/A
Market Vectors All China Energy Sector ETF N/A N/A N/A
Market Vectors All China Financial Services Sector ETF N/A N/A N/A
Market Vectors All China Healthcare ETF N/A N/A N/A
Market Vectors All China Industrials Sector ETF N/A N/A N/A
Market Vectors All China Information Technology Sector ETF N/A N/A N/A
Market Vectors All China Materials Sector ETF N/A N/A N/A
Market Vectors All China Utilities Sector ETF N/A N/A N/A
Market Vectors All China Small Cap ETF N/A N/A N/A
Market Vectors Andean Equity ETF N/A NYSE Arca N/A
Market Vectors CM Commodity Index ETF N/A N/A N/A
Market Vectors Germany Mid-Cap ETF N/A NYSE Arca N/A
Market Vectors Russia Small-Cap ETF N/A NYSE Arca N/A
Market Vectors GDP Emerging Markets Small-Cap Equity ETF N/A NYSE Arca N/A
Market Vectors Japanese Bond ETF N/A NYSE Arca N/A
Market Vectors Sovereign Bond ETF N/A NYSE Arca N/A
Market Vectors European High Yield Bond ETF N/A NYSE Arca N/A
Market Vectors Business Development Company/Specialty Finance ETF N/A NYSE Arca N/A
Market Vectors International High Yield Bond ETF N/A NYSE Arca N/A
Market Vectors Business Development Company N/A NYSE Arca N/A
Market Vectors Nigeria ETF N/A NYSE Arca N/A
Market Vectors China Private Company ETF N/A NYSE Arca N/A
Market Vectors Dim Sum Bond ETF N/A NYSE Arca N/A
Market Vectors Yuan Bond ETF N/A NYSE Arca N/A
Market Vectors Nigeria-Focused Western Africa ETF N/A NYSE Arca N/A
Market Vectors Global High Yield Bond ETF N/A N/A N/A
Market Vectors Global High Yield $US Bond ETF N/A N/A N/A
Market Vectors Global Fallen Angel Bond ETF, N/A N/A N/A
Market Vectors Morningstar Long/Short Commodity ETF N/A NYSE Arca N/A
Market Vectors Global Chemicals ETF N/A N/A N/A
Market Vectors Saudi Arabia ETF N/A N/A N/A
Market Vectors Saudi Arabia Small-Cap ETF N/A N/A N/A
Market Vectors Short High-Yield Municipal Index ETF N/A N/A N/A
Market Vectors Emerging Markets Aggregate Bond ETF
 N/A N/A N/A
Market Vectors Emerging Markets USD Aggregate Bond ETF N/A N/A N/A
Market Vectors Non-Agency RMBS ETF N/A N/A N/A
Vanguard
Vanguard Total International Bond ETF N/A NYSE Arca N/A
Vanguard Emerging Markets Government Bond ETF N/A NYSE Arca N/A

. . .
WisdomTree
WisdomTree Asia Emerging Markets Total Dividend N/A N/A N/A
WisdomTree Asia Emerging Markets High-Yield N/A N/A N/A
WisdomTree DIPR Fund N/A N/A N/A
WisdomTree DIPR High-Yielding Equity Fund N/A N/A N/A
WisdomTree Emerging Markets Total Dividend N/A N/A N/A
WisdomTree Emerging Markets Dividend Top 100 N/A N/A N/A
WisdomTree Latin America Total Dividend N/A N/A N/A
WisdomTree Australia Total Dividend N/A N/A N/A
WisdomTree Canada Total Dividend N/A N/A N/A
WisdomTree China Total Dividend N/A N/A N/A
WisdomTree France Total Dividend N/A N/A N/A
WisdomTree Germany Total Dividend N/A N/A N/A
WisdomTree Hong Kong Total Dividend N/A N/A N/A
WisdomTree India Total Dividend N/A N/A N/A
WisdomTree Malaysia Total Dividend N/A N/A N/A
WisdomTree Singapore Total Dividend N/A N/A N/A
WisdomTree South Africa Total Dividend N/A N/A N/A
WisdomTree South Korea Total Dividend N/A N/A N/A
WisdomTree Taiwan Total Dividend N/A N/A N/A
WisdomTree United Kingdom Total Dividend N/A N/A N/A
WisdomTree United Kingdom High-Yielding Equity N/A N/A N/A
WisdomTree Communications Sector N/A N/A N/A
WisdomTree Financial Sector N/A N/A N/A
WisdomTree REIT Sector N/A N/A N/A
WisdomTree U.S. Cash Fund N/A N/A N/A
WisdomTree U.S. Government Cash Fund N/A N/A N/A
WisdomTree Australian Dollar Fund N/A N/A N/A
WisdomTree British Pound Sterling Fund N/A N/A N/A
WisdomTree Canadian Dollar Fund N/A N/A N/A
WisdomTree South Korean Won Fund N/A N/A N/A
WisdomTree Developing Markets Fund N/A N/A N/A
WisdomTree International LargeCap Growth Fund N/A N/A N/A
WisdomTree Global SmallCap Dividend Fund N/A N/A N/A
WisdomTree Global Equity Income Fund N/A N/A N/A
WisdomTree Global Dividend Fund N/A N/A N/A
WisdomTree Currency Hedged Emerging Markets Fund N/A N/A N/A
WisdomTree Dreyfus Chilean Peso Fund N/A N/A N/A
WisdomTree Dreyfus Czech Koruna Fund N/A N/A N/A
WisdomTree Dreyfus Hong Kong Dollar Fund N/A N/A N/A
WisdomTree Dreyfus Hungarian Forint Fund N/A N/A N/A
WisdomTree Dreyfus Israeli Shekel Fund N/A N/A N/A
WisdomTree Dreyfus Icelandic Krona Fund N/A N/A N/A
WisdomTree Dreyfus Indonesian Rupiah Fund N/A N/A N/A
WisdomTree Dreyfus Malaysian Ringgit Fund N/A N/A N/A
WisdomTree Dreyfus Mexican Peso Fund N/A N/A N/A
WisdomTree Dreyfus Norwegian Krone N/A N/A N/A
WisdomTree Dreyfus Polish Zloty Fund N/A N/A N/A
WisdomTree Dreyfus Russian Ruble Fund N/A N/A N/A
WisdomTree Dreyfus Singapore Dollar Fund N/A N/A N/A
WisdomTree Dreyfus Swedish Krona N/A N/A N/A
WisdomTree Dreyfus Swiss Franc Fund N/A N/A N/A
WisdomTree Dreyfus Taiwan Dollar Fund N/A N/A N/A
WisdomTree Dreyfus Thai Baht Fund N/A N/A N/A
WisdomTree Dreyfus Turkish Lira Fund N/A N/A N/A
WisdomTree Dreyfus BRIC Currency Fund N/A N/A N/A
WisdomTree Dreyfus Developed Currency Fund N/A N/A N/A
WisdomTree Dreyfus Emerging Asia Currency Fund N/A N/A N/A
WisdomTree Dreyfus Emerging Europe Currency Fund N/A N/A N/A
WisdomTree Dreyfus Emerging Latin America Currency Fund N/A N/A N/A
WisdomTree Dreyfus Gulf Currency Fund N/A N/A N/A
WisdomTree Dreyfus Oil Exporters Currency Fund N/A N/A N/A
WisdomTree CEF Fixed Income Fund N/A N/A N/A
WisdomTree Long-Short Equity Fund N/A N/A N/A
WisdomTree Israel Total Dividend Fund N/A N/A N/A
WisdomTree Rising Dollar Fund N/A NYSE Arca N/A
WisdomTree Brazil Bond Fund N/A N/A N/A
WisdomTree EMEA Bond Fund N/A N/A N/A
WisdomTree LatAm Bond Fund N/A N/A N/A
WisdomTree China Local Debt Fund N/A NYSE Arca N/A
WisdomTree Emerging Markets Inflation Protection Bond Fund N/A NYSE Arca N/A
WisdomTree Germany Hedged Equity Fund N/A N/A N/A
WisdomTree Asia Small Cap Fund N/A N/A N/A

. . .
Yorkville
Yorkville High Income Composite MLP ETF N/A N/A N/A
Yorkville HIgh Income Infrastructure MLP ETF N/A N/A N/A



 

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-Aug-12
LocalShares Domestic/international equity and fixed income ETFs 17-Oct-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



 

ETF Closures, By Year

Closed ETFs, By Year Ticker
1996
DB Country Baskets Australia
DB Country Baskets France
DB Country Baskets Germany
DB Country Baskets Hong Kong
DB Country Baskets Italy
DB Country Baskets Japan
DB Country Baskets South Africa
DB Country Baskets United Kingdom
DB Country Baskets U.S.
2002
iShares DJ U.S. Chemicals Index Fund IYD
iShares DJ U.S. Internet Index Fund IYV
iShares S&P/TSE 60 Index Fund IKC
2003
Treasury 1 FITR TFT
Treasury 2 FITR TOU
Treasury 5 FITR TFI (2236682Q)
Treasury 10 FITR TTE
2006
SPDR O-Strip OOO (2269064Q)
2008
Adelante Shares RE Classics ETF ACK (3867929Q)
Adelante Shares RE Composite ETF ACB
Adelante Shares RE Growth ETF AGV
Adelante Shares RE Kings ETF AKB
Adelante Shares RE Shelter ETF AQS (3088277Q)
Adelante Shares RE Value ETF AVU
Adelante Shares RE Yield Plus ETF ATY
Ameristock Ryan 10-Year Treasury GKD
Ameristock Ryan 1-Year Treasury GKA
Ameristock Ryan 20-Year Treasury GKE
Ameristock Ryan 2-Year Treasury GKB
Ameristock Ryan 5-Year Treasury GKC
Bear Stearns Current Yield YYY
Claymore/BIR Leaders 50 BST
Claymore/BIR Leaders Mid-Cap Value BMV
Claymore/BIR Leaders Small-Cap Core BES
Claymore/Clear Global Vaccine Index JNR
Claymore/Clear Mid-Cap Growth Index MCG
Claymore/IndexIQ Small-Cap Value SCV
Claymore/KLD Sudan Free Large-Cap Core KSF
Claymore/LGA Green GRN (2867208Q)
Claymore/Robeco Boston Partners Large-Cap Value CLV
Claymore/Robeco Developed World Equity EEW
Claymore/Zacks Growth & Income Index CZG
Elements Australian Dollar ETN ADE
Elements British Pound ETN EGB
Elements Canadian Dollar ETN CUD
Elements Euro ETN ERE
Elements Swiss Franc ETN SZE (3312324Q)
FocusShares ISE CCM Homeland Security MYP (3280650Q)
FocusShares ISE SINdex PUF
FocusShares ISE-REVERE WalMart Suppliers WSI
FocusShares ISE Homebuilders SAW
HealthShares Autoimmune Inflammation ETF HHA
HealthShares Cancer ETF HHK
HealthShares Cardiology Devices Index ETF HHE
HealthShares Cardiology ETF HRD
HealthShares Composite ETF HHQ
HealthShares Dermatology and Wound Care ETF HRW
HealthShares Diagnostics ETF HHD
HealthShares Emerging Cancer Index ETF HHJ
HealthShares Enabling Technologies Index ETF HHV
HealthShares European Drugs ETF HRJ
HealthShares European Medical Products and Devices HHT
HealthShares GI/Gender Health ETF HHU
HealthShares Infectious Disease HHG
HealthShares Metabolic-Endocrine Disorders ETF HHM
HealthShares Ophthalmology ETF HHZ
HealthShares Patient Care Services Index ETF HHB
HealthShares Respiratory/Pulmonary ETF HHR
HealthShares Neuroscience ETF HHN
HealthShares Orthopedic Repair HHP
Lehman Opta Commodity Index Pure Beta Agriculture Total Return ETN EOH
Lehman Opta Commodity Index Pure Beta Total Return ETN RAW
Lehman Opta S&P Listed Private Equity net Return ETN PPE
MacroShares Down Oil DCR
MacroShares Up Oil UCR
NYSE Arca Tech 100 ETF NXT
2009
Bear Stearns Alerian MLP ETN BSR
MacroShares Down Oil $100 DOY
MacroShares Up Oil $100 UOY
NETS AEX Index AEX
NETS BEL 20 Index BRU
NETS CAC 40 Index FRC (4624406Q)
NETS DAX Index DAX
NETS FTSE 100 Index LDN
NETS FTSE Singapore Straits Times Index SGT
NETS FTSE/JSE Top 40 Index JNB
NETS FTSE-CNBC Global 300 Index Fund MYG
NETS Hang Seng China Enterprises Index SNO
NETS Hang Seng Index HKG
NETS ISEQ 20 Index IQE
NETS PSI 20 Index LIS
NETS S&P/ASX 200 Index AUS
NETS S&P/MIB Index ITL
NETS TA-25 Index TAV
NETS Tokyo Stock Exchange REIT Index JRE
NETS TOPIX Index TYI
PowerShares Dynamic Aggressive Growth Portfolio PGZ
PowerShares Dynamic Asia Pacific Portfolio PUA
PowerShares Dynamic Deep Value Portfolio PVM
PowerShares Dynamic Europe Portfolio PEH
PowerShares Dynamic Hardware & Consumer Electronics Portfolio PHW
PowerShares FTSE RAFI Asia Pacific ex-Japan Small-Mid Portfolio PDQ
PowerShares FTSE RAFI Basic Materials Sector Portfolio PRFM
PowerShares FTSE RAFI Consumer Goods Sector Portfolio PRFG
PowerShares FTSE RAFI Consumer Services Sector Portfolio PRFS
PowerShares FTSE RAFI Energy Sector Portfolio PRFE
PowerShares FTSE RAFI Europe Small-Mid Portfolio PWD
PowerShares FTSE RAFI Financials Sector Portfolio PRFF
PowerShares FTSE RAFI Health Care Sector Portfolio PRFH
PowerShares FTSE RAFI Industrials Sector Portfolio PRFN
PowerShares FTSE RAFI International Real Estate Portfolio PRY
PowerShares FTSE RAFI Telecommunications & Technology Sector Portfolio PRFQ
PowerShares FTSE RAFI Utilities Sector Portfolio PRFU
PowerShares High Growth Rate Dividend Achievers Portfolio PHJ
PowerShares International Listed Private Equity Portfolio PFP
SPA MarketGrader 100 SIH
SPA MarketGrader 200 SNB
SPA MarketGrader 40 SFV
SPA MarketGrader Largecap 100 SZG
SPA MarketGrader MidCap 100 SVD
SPA MarketGrader SmallCap 100 SSK
Claymore/Morningstar Manufacturing Super Sector Index ETF MZG
Claymore/Morningstar Information Super Sector Index ETF MZN
Claymore/Morningstar Services Super Sector Index ETF MZO
Claymore U.S.-1 - The Capital Markets Index ETF UEM
MacroShares Major Metro Housing Down DMM
MacroShares Major Metro Housing Up UMM
ELEMENTS MLCX Gold Index ETN GOE
ELEMENTS MLCX Livestock Index ETN LSO
ELEMENTS MLCX Precious Metals Index ETN PMY
AirShares EU Carbon Allowances Fund ASO
PowerShares DB Crude Oil Double Long ETN DXO
2010
WisdomTree Earnings Top 100 EEZ
WisdomTree Europe Total Dividend Fund DEB
WisdomTree International Communications Sector DGG
WisdomTree International Consumer Discretionary Sector Fund DPC
WisdomTree International Consumer Staples Sector Fund DPN
WisdomTree International Financial Sector Fund DRF
WisdomTree International Health Care Sector Fund DBR
WisdomTree International Industrial Sector Fund DDI
WisdomTree International Technology Sector Fund DBT
WisdomTree U.S. Short Term Government Income Fund USY
Rydex 2x S&P MidCap 400 ETF RMM
Rydex Inverse 2x S&P MidCap 400 ETF RMS
Rydex 2x Russell 2000 ETF RRY
Rydex Inverse 2x Russell 2000 ETF RRZ
Rydex 2x S&P Select Sector Energy ETF REA
Rydex Inverse 2x Select Sector Energy ETF REC
Rydex 2x S&P Select Sector Financial ETF RFL
Rydex Inverse 2x Select Sector Financial ETF RFN
Rydex 2x S&P Select Sector Health Care ETF RHM
Rydex Inverse 2x Select Sector Health Care ETF RHO
Rydex 2x S&P Select Sector Technology ETF RTG
Rydex Inverse 2x Select Sector Technology ETF RTW
Claymore/Delta Global Shipping Index ETF SEA
Claymore/Zacks Dividend Rotation ETF IRO
Claymore/Zacks Country Rotation ETF CRO
Claymore/Beacon Global Exchanges, Brokers & Asset Managers Index EXB
Claymore/Robb Report Global Luxury Index ETF ROB
Grail RP Technology RPQ
Grail RP Financials RFF
GlobalShares FTSE All-World Fund GSW
GlobalShares FTSE Emerging Markets Fund GSR
GlobalShares FTSE All-Cap Asia Pacific ex Japan Fund GSZ
GlobalShares FTSE All-World ex US Fund GSO
GlobalShares FTSE Developed Countries ex US Fund GSD
Geary OOK, Inc. OOK
Geary TXF Large Companies ETF TXF
JETS DJ Islamic Market International JVS
Direxion Daily 2-Year Treasury Bear 3x TWOZ
Direxion Daily 2-Year Treasury Bull 3x TWOL
PowerShares Dynamic Healthcare Services Portfolio PTJ
PowerShares Dynamic Telecommunications & Wireless Portfolio PTE
PowerShares FTSE NASDAQ Small Cap Portfolio PQSC
PowerShares FTSE RAFI Europe Portfolio PEF
PowerShares FTSE RAFI Japan Portfolio PJO
PowerShares Global Biotech Portfolio PBTQ
PowerShares Global Progressive Transportation Portfolio PTRP
PowerShares NASDAQ-100 BuyWrite Portfolio PQBW
PowerShares NXQ Portfolio PNXQ
PowerShares Zacks Small Cap Portfolio PZJ
2011
FaithShares Baptist Values Fund FZB
FaithShares Catholic Values Fund FCV
FaithShares Lutheran Values Fund FKL
FaithShares Methodist Values Fund FMV
FaithShares Christian Values Fund FCV
iPath Long Enhanced S&P 500 Mid-Term Futures ETN VZZ
Telecom HOLDRS TTH
Internet HOLDRS HHH
Software HOLDRS SWH
Utilities HOLDRS UTH
Internet Architecture HOLDRS IAH
Broadband HOLDRS BDH
B2B HOLDRS BHH
Wireless HOLDRS WMH
Market 2000+ HOLDRS MKH
Internet Infrastructure HOLDRS IIH
Europe 2001 HOLDRS EKH
Elements Benjamin Graham Total Market Value Index-Total Return ETN BVT
Elements Benjamin Graham Large Cap Value Index-Total Return ETN BVL
Elements Benjamin Graham Small Cap Value Index-Total Return ETN BSC
iPath Inverse January 2021 S&P 500 VIX Short-Term Futures ETN IVO
JETS Contrarian Opportunities Index Fund JCO
PowerShares Active Alpha Multi-Cap Fund PQZ
PowerShares Active AlphaQ Fund PQY
Direxion Airline Shares ETF FLYX
Jefferies TR/J CRB Global Agriculture Equity ETF CRBA
Jefferies TR/J CRB Global Industrial Metals Equity ETF CRBI
IQ Hong Kong Small Cap ETF HKK
IQ Taiwan Small Cap ETF TWON
IQ Japan Mid Cap ETF RSUN
2012
Global X Russell Emerging Markets Growth ETF EMGX
Global X Russell Emerging Markets Value ETF EMVX
Global X Mexico Small-Cap ETF MEXS
Global X Oil Equities ETF XOIL
Global X Farming ETF BARN
Global X Fishing Industry ETF FISN
Global X Food ETF EATX
Global X Waste Management ETF WSTE
CurrencyShares Russian Ruble Trust FXRU
CurrencyShares Mexican Peso Trust FXM
Guggenheim EW Euro-Pacific LDRs ETF EEN
Guggenheim International Small Cap LDRs ETF XGC
Guggenheim Ocean Tomo Growth ETF OTR
Guggenheim Ocean Tomo Patent ETF OTP
Guggenheim Sector Rotation ETF XRO
Rydex MSCI All Country World Equal Weight ETF EWAC
TR/J CRB Wildcatters Exploration & Production Equity ETF WCAT
Dent Tactical Advantage ETF DENT
IQ South Korea Small Cap ETF SKOR
Focus Morningstar US Market Index ETF FMU
Focus Morningstar Large Cap Index ETF
 FLG
Focus Morningstar Mid Cap Index ETF
 FMM
Focus Morningstar Small Cap Index ETF
 FOS
Focus Morningstar Basic Materials Index ETF
 FBM
Focus Morningstar Communications Services Index ETF
 FCQ
Focus Morningstar Consumer Cyclical Index ETF
 FCL
Focus Morningstar Consumer Defensive Index ETF
 FCD
Focus Morningstar Energy Index ETF
 FEG
Focus Morningstar Financial Services Index ETF
 FFL
Focus Morningstar Health Care Index ETF
 FHC
Focus Morningstar Industrials Index ETF
 FIL
Focus Morningstar Real Estate Index ETF
 FRL
Focus Morningstar Technology Index ETF
 FTQ
Focus Morningstar Utilities ETF
 FUI

Direxion Daily Agribusiness Bull 3X Shares

 COWL
Direxion Daily Agribusiness Bear 3X Shares
COWS
Direxion Daily Basic Materials Bear 3X Shares MATS

Direxion Daily BRIC Bull 3X Shares

 BRIL
Direxion Daily BRIC Bear 3X Shares
BRIS
Direxion Daily Healthcare Bear 3X Shares

SICK
Direxion Daily India Bear 3X Shares
INDZ

Direxion Daily Latin America Bear 3X Shares

 LHB

Direxion Daily Retail Bear 3X Shares

 RETS
Russell 1000 High Beta ETF HBTA
Russell 1000 Low Beta ETF LBTA
Russell 1000 High Volatility ETF HVOL
Russell 1000 Low Volatility ETF LVOL
Russell 1000 High Momentum ETF HMTM
Russell 2000 High Beta ETF SHBT
Russell 2000 Low Beta ETF SLBT
Russell 2000 High Volatility ETF SHVY
Russell 2000 Low Volatility ETF SLVY
Russell 2000 High Momentum ETF SHMO
Russell Developed ex-U.S. Low Beta ETF XLBT
Russell Developed ex-U.S. Low Volatility ETF XLVO
Russell Developed ex-U.S. High Momentum ETF XHMO
Russell Aggressive Growth ETF AGRG
Russell Consistent Growth ETF CONG
Russell Contrarian ETF CNTR
Russell Equity Income ETF EQIN
Russell Growth at a Reasonable Price ET GRPC
Russell Low P/E ETF LWPE
Russell Small Cap Aggressive Growth ETF SGGG
Russell Small Cap Consistent Growth ETF SCOG
Russell Small Cap Contrarian ETF SCTR
Russell Small Cap Low P/E ETF SCLP
Russell High Dividend Yield ETF HDIV
Russell Small Cap High Dividend Yield ETF DIVS
Etracks Daily 1-Month S&P VIX Futures ETN

VXAA
Etracks Daily 2-Month S&P VIX Futures ETN VXBB
Etracks Daily 3-Month S&P VIX Futures ETN VXCC
Etracks Daily 4-Month S&P VIX Futures ETN VXDD
Etracks Daily 5-Month S&P VIX Futures ETN VXEE
Etracks Daily 6-Month S&P VIX Futures ETN VXFF
Etracks Daily Short 1-Month S&P VIX Futures ETN AAVX
Etracks Daily Short 2-Month S&P VIX Futures ETN BBVX
Etracks Daily Short 3-Month S&P VIX Futures ETN CCVX
Etracks Daily Short 4-Month S&P VIX Futures ETN DDVX
Etracks Daily Short 5-Month S&P VIX Futures ETN EEVX
Etracks Daily Short 6-Month S&P VIX Futures ETN FFVX
iPath Short Extended S&P 500 TR Index ETN SFSA
iPath Short Extended Russell 1000 TR Index ETN ROSA
Global X Aluminum ETF ALUM
Global X Auto ETF VROM
Global X Nasdaq 500 ETF QQQV
Global X Nasdaq 400 Mid Cap QQQM
WisdomTree LargeCap Growth Fund ROI
WisdomTree Dreyfus South African Rand Fund SZR
WisdomTree Dreyfus Japanese Yen Fund JYF
QuantShares U.S. Market Neutral High Beta Fund BTAH
QuantShares U.S. Market Neutral Anti-Momentum Fund NOMO
QuantShares U.S. Market Neutral Quality Fund QLT

NOTE: Italicized funds are scheduled to close but have not yet been liquidated.


 

ETF Ticker And Index Changes
Date of Change Issuer Old Ticker New Ticker Old Underlying Index New Underlying Index
05/17/2003 Vanguard VUG VUG S&P 500/Barra Growth Index MSCI US Prime Market Growth Index
05/17/2003 Vanguard VTV VTV S&P 500/Barra Value Index MSCI US Prime Market Value Index
05/17/2003 Vanguard VO VO S&P MidCap 400 Index MSCI US Mid Cap 450 Index
05/17/2003 Vanguard VB VB Russell 2000 Index MSCI US Small Cap 1750 Index
05/17/2003 Vanguard VBK VBK S&P SmallCap 600/Barra Growth Index MSCI US Small Cap Growth Index
05/17/2003 Vanguard VBR VBR S&P SmallCap 600/Barra Value Index MSCI US Small Cap Value Index
04/23/2005 Vanguard VTI VTI Dow Jones Wilshire 5000 Index MSCI US Broad Market Index
06/18/2005 Vanguard VXF VXF Dow Jones Wilshire 4500 Index S&P Transitional Completion Index
05/08/2006 BlackRock ITB ITB Dow Jones U.S. Select Home Construction Index Dow Jones U.S. Select Home Builders Index
06/30/2006 BlackRock IWC IWC Russell MicrocapX Index Russell Microcap Index
08/24/2006 Vanguard VWO VWO MSCI Select Emerging Markets Index (Exclusive for Vanguard) MSCI Emerging Markets Index
11/01/2006 BlackRock LQD LQD GS $ InvesTop Index iBoxx $ Liquid Investment Grade Index
05/03/2007 BlackRock IYZ IYZ Dow Jones U.S. Telecommunications Index Dow Jones U.S. Select Telecommunications Index
11/15/2007 BlackRock IYY IYY Dow Jones U.S. Total Market Index Dow Jones U.S. Index
12/01/2007 BlackRock EWK EWK MSCI Belgium Index MSCI Belgium Investable Market Index
12/01/2007 BlackRock EWW EWW MSCI Mexico Index MSCI Mexico Investable Market Index
02/01/2008 BlackRock EWO EWO MSCI Austria Index MSCI Austria Investable Market Index
02/01/2008 BlackRock EWN EWN MSCI Netherlands Index MSCI Netherlands Investable Market Index
03/28/2008 BlackRock IGE IGE S&P GSSI Natural Resources Index S&P North American Natural Resources Sector Index
03/28/2008 BlackRock IGM IGM S&P GSTI Technology Index S&P North American Technology Sector Index
03/28/2008 BlackRock IGN IGN S&P GSTI Multimedia Networking Index S&P North American Technology-Multimedia Networking Index
03/28/2008 BlackRock IGV IGV S&P GSTI Software Index S&P North American Technology-Software Index
09/30/2008 Guggenheim LVL LVL BBD High Income Index S&P Global Dividend Opportunities Index
10/01/2008 BlackRock WPS WPS S&P/Citigroup BMI World ex-U.S. Property Index S&P Developed ex US Property Index
11/06/2008 First Trust FRI FRI S&P REIT Composite Index S&P United States REIT Index
12/08/2008 BlackRock CSJ CSJ Lehman Brothers 1-3 Year U.S. Credit Index Barclays Capital 1-3 Year U.S. Credit Index
12/08/2008 BlackRock SHY SHY Lehman Brothers 1-3 Year U.S. Treasury Index Barclays Capital 1-3 Year U.S. Treasury Index
12/08/2008 BlackRock IEI IEI Lehman Brothers 3-7 Year U.S. Treasury Index Barclays Capital 3-7 Year U.S. Treasury Index
12/08/2008 BlackRock IEF IEF Lehman Brothers 7-10 Year U.S. Treasury Index Barclays Capital 7-10 Year U.S. Treasury Index
12/08/2008 BlackRock TLH TLH Lehman Brothers 10-20 Year U.S. Treasury Index Barclays Capital 10-20 Year U.S. Treasury Index
12/08/2008 BlackRock CFT CFT Lehman Brothers U.S. Credit Index Barclays Capital U.S. Credit Index
12/08/2008 BlackRock GBF GBF Lehman Brothers U.S. Government/Credit Index Barclays Capital U.S. Government/Credit Index
12/08/2008 BlackRock GVI GVI Lehman Brothers Intermediate U.S. Government/Credit Index Barclays Capital Intermediate U.S. Government/Credit Index
12/08/2008 BlackRock MBB MBB Lehman Brothers U.S. MBS Index (previously, Lehman Brothers U.S. MBS Fixed-Rate Index, until 9/18/2007) Barclays Capital U.S. MBS Index
12/08/2008 BlackRock SHV SHV Lehman Brothers Short U.S. Treasury Index Barclays Capital Short U.S. Treasury Index
02/06/2009 BlackRock TIP TIP Barclays Capital U.S. Treasury TIPS Index (previously, Lehman Brothers U.S. Treasury TIPS Index, until 12/8/2008) Barclays Capital U.S. Treasury Inflation Protected Securities (TIPS) Index (Series-L)
03/02/2009 BlackRock FNIO FNIO FTSE NAREIT Industrial/Office Index FTSE NAREIT Industrial/Office Capped Index
03/02/2009 BlackRock REM REM FTSE NAREIT Mortgage REITs Index FTSE NAREIT All Mortgage Capped Index
03/02/2009 BlackRock REZ REZ FTSE NAREIT Residential Index FTSE NAREIT All Residential Capped Index
03/02/2009 BlackRock RTL RTL FTSE NAREIT Retail Index FTSE NAREIT Retail Capped Index
03/04/2009 BlackRock TLT TLT Barclays Capital U.S. Treasury 20+ Year Index (previously, Lehman Brothers 20+ Year U.S. Treasury Index, until 12/8/2008) Barclays Capital U.S. 20+ Year Treasury Bond Index
03/04/2009 BlackRock CIU CIU Barclays Capital Intermediate U.S. Credit Index (previously, Lehman Brothers Intermediate U.S. Credit Index, until 12/8/2008) Barclays Capital U.S. Intermediate Credit Bond Index
03/23/2009 BlackRock IFAS IFAS FTSE EPRA/NAREIT Asia Index FTSE EPRA/NAREIT Developed Asia Index
03/23/2009 BlackRock IFEU IFEU FTSE EPRA/NAREIT Europe Index FTSE EPRA/NAREIT Developed Europe Index
03/23/2009 BlackRock IFGL IFGL FTSE EPRA/NAREIT Global Real Estate ex-U.S. Index FTSE EPRA/NAREIT Developed Real Estate ex-U.S. Index
03/31/2009 Guggenheim EEN EEN Robeco Developed International Equity Index BNY Mellon Euro-Pacific Select ADR Index
05/01/2009 Vanguard VNQ VNQ MSCI US REIT Index adjusted to include a 2% cash position MSCI US REIT Index
05/07/2009 WisdomTree DTN DTN WisdomTree Dividend Top 100 Index WisdomTree Dividend ex-Financials Index
05/07/2009 WisdomTree DOO DOO WisdomTree International Dividend Top 100 WisdomTree International Dividend ex-Financials Index
06/19/2009 WisdomTree DEW DEW WisdomTree Europe Equity Income Index WisdomTree Global Equity Income Index
06/19/2009 WisdomTree DNL DNL WisdomTree Japan Equity Income Index WisdomTree World ex-US Growth Index
06/19/2009 WisdomTree EZY EZY WisdomTree Low P/E Index WisdomTree LargeCap Value Index
08/14/2009 BlackRock CMF CMF S&P California Municipal Bond Index S&P California AMT-Free Municipal Bond Index
08/14/2009 BlackRock MUB MUB S&P National Municipal Bond Index S&P National AMT-Free Municipal Bond Index
08/14/2009 BlackRock NYF NYF S&P New York Municipal Bond Index S&P New York AMT-Free Municipal Bond Index
08/14/2009 BlackRock SUB SUB S&P National 0-5 Year Municipal Bond Index S&P Short Term National AMT-Free Municipal Bond Index
01/01/2010 Vanguard BND BND Barclays Capital U.S. Aggregate Bond Index Barclays Capital U.S. Aggregate Float Adjusted Index
01/01/2010 Vanguard BSV BSV Barclays Capital U.S. 1–5 Year Government/Credit Bond Index Barclays Capital U.S. 1–5 Year Government/Credit Float Adjusted Index
01/01/2010 Vanguard BIV BIV Barclays Capital U.S. 5–10 Year Government/Credit Bond Index Barclays Capital U.S. 5–10 Year Government/Credit Float Adjusted Index
01/01/2010 Vanguard BLV BLV Barclays Capital U.S. Long Government/Credit Bond Index Barclays Capital U.S. Long Government/Credit Float Adjusted Index
02/27/2010 Vanguard VDE VDE MSCI US Investable Market Energy Index MSCI US Investable Market Energy 25/50 Index
02/27/2010 Vanguard VAW VAW MSCI US Investable Market Materials Index MSCI US Investable Market Materials 25/50 Index
02/27/2010 Vanguard VIS VIS MSCI US Investable Market Industrials Index MSCI US Investable Market Industrials 25/50 Index
02/27/2010 Vanguard VCR VCR MSCI US Investable Market Consumer Discretionary Index MSCI US Investable Market Consumer Discretionary 25/50 Index
02/27/2010 Vanguard VDC VDC MSCI US Investable Market Consumer Staples Index MSCI US Investable Market Consumer Staples 25/50 Index
02/27/2010 Vanguard VHT VHT MSCI US Investable Market Health Care Index MSCI US Investable Market Health Care 25/50 Index
02/27/2010 Vanguard VFH VFH MSCI US Investable Market Financials Index MSCI US Investable Market Financials 25/50 Index
02/27/2010 Vanguard VGT VGT MSCI US Investable Market Information Technology Index MSCI US Investable Market Information Technology 25/50 Index
02/27/2010 Vanguard VOX VOX MSCI US Investable Market Telecommunication Services Index MSCI US Investable Market Telecommunication Services 25/50 Index
02/27/2010 Vanguard VPU VPU MSCI US Investable Market Utilities Index MSCI US Investable Market Utilities 25/50 Index
04/01/2010 WisdomTree DXJ DXJ WisdomTree Japan Total Dividend Index WisdomTree Japan Hedged Equity Index
06/18/2010 First Trust FDV FDV Deutsche Bank CROCI US+ Index Credit Suisse U.S. Value Index
06/30/2010 PowerShares PTO PTO New Frontier Global Dynamic Growth Index Ibbotson Alternative Completion Index
06/30/2010 PowerShares PAO PAO New Frontier Global Dynamic Balanced Growth Index
RiverFront Global Tactical Balanced Growth Index
06/30/2010 PowerShares PCA PCA New Frontier Global Dynamic Balanced Index RiverFront Global Tactical Balanced Growth & Income Index
06/30/2010 PowerShares PIV PIV Value Line Timeliness Select Index S&P 500 High Quality Rankings Index
06/30/2010 PowerShares PYH PYH Value Line Industry Rotation Index Morningstar StockInvestor Core Index
07/27/2010 Guggenheim XGC XGC Great Companies Large Cap Growth Index BNY Mellon Small Cap Select ADR Index
07/27/2010 Guggenheim XGC XGC Great Companies Large Cap Growth Index BNY Mellon Small Cap Select ADR Index
08/02/2010 PowerShares PHB PHB Wells Fargo High Yield Bond Index RAFI High Yield Bond Index
08/05/2010 PowerShares PVI PVI Thomson Municipal Market Data VRDO Index Bloomberg US Municipal AMT-Free Weekly VRDO Index
09/01/2010 BlackRock DSI DSI FTSE KLD 400 Social Index (previously, Domini 400 Social Index, until 7/29/2009) MSCI KLD 400 Social Index
09/01/2010 BlackRock KLD KLD FTSE KLD Select Social Index (previously, KLD Select Social Index, until 7/29/2009) MSCI USA ESG Select Index
09/17/2010 Direxion TYO TYO NYSE Current 10 Year U.S. Treasuries NYSE 7-10 Year Treasury Bond Index
09/17/2010 Direxion TYD TYD NYSE Current 10 Year U.S. Treasuries NYSE 7-10 Year Treasury Bond Index
09/17/2010 Direxion TMF TMF NYSE Current 30 Year U.S. Treasuries NYSE 20 Year Plus Treasury Bond Index
09/17/2010 Direxion TMV TMV NYSE Current 30 Year U.S. Treasuries NYSE 20 Year Plus Treasury Bond Index
10/15/2010 BlackRock IGW SOXX S&P North American Technology-Semiconductors Index (previously, S&P GSTI Semiconductor Index, until 3/28/2008) Philadelphia Stock Exchange Semiconductor Index
12/16/2010 BlackRock FXI FXI FTSE/Xinhua China 25 Index FTSE China 25 Index
12/22/2010 BlackRock IVW IVW S&P 500/Citigroup Growth Index S&P 500 Growth Index
12/22/2010 BlackRock IVE IVE S&P 500/Citigroup Value Index S&P 500 Value Index
12/22/2010 BlackRock IJK IJK S&P MidCap 400/Citigroup Growth Index S&P MidCap 400 Growth Index
12/22/2010 BlackRock IJJ IJJ S&P MidCap 400/Citigroup Value Index S&P MidCap 400 Value Index
12/22/2010 BlackRock IJT IJT S&P SmallCap 600/Citigroup Growth Index S&P SmallCap 600 Growth Index
12/22/2010 BlackRock IJS IJS S&P SmallCap 600/Citigroup Value Index S&P SmallCap 600 Value Index
12/24/2010 State Street ELV SPYV Dow Jones U.S. Large Cap Value Total Stock Market Index S&P 500 Value Index
12/24/2010 State Street ELG SPYG Dow Jones U.S. Large Cap Growth Total Stock Market Index S&P 500 Growth Index
12/24/2010 State Street EMV MDYV Dow Jones U.S. Mid-Cap Value Total Stock Market Index S&P MidCap 400 Value Index
12/24/2010 State Street EMG MDYG Dow Jones U.S. Mid-Cap Growth Total Stock Market Index S&P MidCap 400 Growth Index
12/24/2010 State Street DSC SLY Dow Jones U.S. Small-Cap Total Stock Market Index S&P Small Cap 600 Index
12/24/2010 State Street DSV SLYV Dow Jones U.S. Small-Cap Value Total Stock Market Index S&P Small Cap 600 Value Index
12/24/2010 State Street DSG SLYG Dow Jones U.S. Small-Cap Growth Total Stock Market Index S&P Small Cap 600 Growth Index
12/01/2011 AdvisorShares GRV AGLS No Index No Index
03/23/2011 PowerShares QQQQ QQQ NASDAQ-100 Index NASDAQ-100 Index
04/28/2011 BlackRock FIO FNIO FTSE NAREIT Industrial/Office Capped Index FTSE NAREIT Industrial/Office Capped Index
06/16/2011 PowerShares PJF PXLC Dynamic Large Cap Intellidex Index RAFI Fundamental Large Core Index
06/16/2011 PowerShares PWJ PXMG Dynamic Mid Cap Growth Intellidex Index RAFI Fundamental Mid Growth Index
06/16/2011 PowerShares PJG PXMC Dynamic Mid Cap Intellidex Index RAFI Fundamental Mid Core Index
06/16/2011 PowerShares PWP PXMV Dynamic Mid Cap Value Intellidex Index RAFI Fundamental Mid Value Index
06/16/2011 PowerShares PWT PXSG Dynamic Small Cap Growth Intellidex Index RAFI Fundamental Small Growth Index
06/16/2011 PowerShares PJM PXSC Dynamic Small Cap Intellidex Index RAFI Fundamental Small Core Index
06/16/2011 PowerShares PWY PXSV Dynamic Small Cap Value Intellidex Index RAFI Fundamental Small Value Index
06/17/2011 WisdomTree DND AXJL WisdomTree Pacific ex-Japan Total Dividend Index WisdomTree Asia-Pacific ex-Japan Index
06/17/2011 WisdomTree DNH AUSE WisdomTree Pacific ex-Japan Equity Income Index WisdomTree Australia Dividend Index
06/17/2011 WisdomTree DBN CCXE WisdomTree International Basic Materials Sector Index WisdomTree Commodity Country Equity Index
06/17/2011 WisdomTree DKA GNAT WisdomTree International Energy Sector Index WisdomTree Global Natural Resources Index
06/17/2011 WisdomTree DBU DBU WisdomTree International Utilities Sector Index WisdomTree Global ex-US Utility Index
06/17/2011 WisdomTree DRW DRW WisdomTree International Real Estate Index WisdomTree International Real Estate Index
06/17/2011 WisdomTree DNL DNL WisdomTree Global ex-US Growth Index WisdomTree Global ex-US Growth Index
06/23/2011 Emerging Global Advisors EEO OGEM EGShares DJ Emerging Markets Titans Energy ETF EGShares Energy GEMS ETF
06/23/2011 Emerging Global Advisors EFN FGEM EGShares DJ Emerging Markets Titans Financials ETF EGShares Financials GEMS ETF
06/23/2011 Emerging Global Advisors EEG AGEM EGShares DJ Emerging Markets Titans Composite ETF EGShares GEMS Composite ETF
08/20/2011 Guggenheim STH WMCR Sabrient Stealth Index Wilshire Micro Cap Index
06/02/2011 Guggenheim UBD GIY The Capital Markets Bond Index Actively managed ETF
06/02/2011 Guggenheim ULQ GSY The Capital Markets Liquidity Index Actively managed ETF

10/21/2011

 State Street KBE KBE KBW Banks Index S&P Banks Select Industry Index
10/21/2011 State Street KCE KCE KBW Capital Markets Index S&P Capital Markets Select Industry Index
10/21/2011 State Street KIE KIE KBW Insurance Index S&P Insurance Select Industry Index
10/21/2011 State Street KME KME KBW Mortgage Financing Index S&P Mortgage Finance Select Industry Index
10/21/2011 State Street KRE KRE KBW Regional Banking Index S&P Regional Banking Select Industry Index
12/21/2011 Van Eck BBH BBH None - Grantor Trust Market Vectors U.S. Listed Biotech 25 Index
12/21/2011 Van Eck RKH RKH None - Grantor Trust Market Vectors U.S. Listed Money-Centre Bank 25 Index
12/21/2011 Van Eck OIH OIH None - Grantor Trust Market Vectors U.S. Listed Oil Services 25 Index
12/21/2011 Van Eck PPH PPH None - Grantor Trust Market Vectors U.S. Listed Pharmaceutical 25 Index
12/21/2011 Van Eck RTH RTH None - Grantor Trust Market Vectors U.S. Listed Retail 25 Index
12/21/2011 Van Eck SMH SMH None - Grantor Trust Market Vectors U.S. Listed Semiconductor 25 Index
02/28/2012 Vanguard VT VT FTSE All World Index FTSE Global All Cap Index
03/01/2012 PowerShares

PIV

SPHQ

 - -
03/01/2012 PowerShares PFA IDHQ - -
03/01/2012 PowerShares PHO PHO Palisades Water Index NASDAQ OMX US Water Index
03/01/2012 PowerShares PIO PIO Palisades Global Water Index NASDAQ OMX Global Water Index
03/19/2012 Direxion Shares RSX RSX DAXGlobal Russia+ Index Market Vectors Russia Index
04/04/2012 Pimco TRXT BOND - -
06/29/2012 Direxion Shares BGU SPXL Russell 1000 Index S&P 500
06/29/2012 Direxion Shares BGZ SPXS Russell 1000 Index S&P 500
06/29/2012 Direxion Shares MWJ MIDU Russell Mid Cap Index S&P MidCap 400 Index
06/29/2012 Direxion Shares MWN MIDZ Russell Mid Cap Index S&P MidCap 400 Index
06/29/2012 Direxion Shares

TYH

 TECL Russell 1000 Technology Index Technology Select Sector Index
06/29/2012 Direxion Shares TYP TECS Russell 1000 Technology Index Technology Select Sector Index
06/29/2012 Direxion Shares ERX ERX Russell 1000 Energy Index Energy Select Sector Index
06/29/2012 Direxion Shares ERY ERY Russell 1000 Energy Index Energy Select Sector Index
08/30/2012 WisdomTree HEDJ HEDJ WisdomTree DEFA International Hedged Equity Index WisdomTree Europe Hedged Equity Index
09/6/2012 Global X Funds TSXV JUNR S&P/TSX Venture 30 Index Solactive Junior Minors Index
09/24/2012 Van Eck KOL KOL Stowe Global Coal Index Market Vectors Global Coal Index
09/24/2012 Van Eck BJK BJK S-Network Global Gaming Index Market Vectors Global Gaming Index
10/2/2012* Vanguard VGK VGK MSCI Europe Index FTSE Developed Europe Index
10/2/2012* Vanguard VPL VPL MSCI Pacific Index FTSE Developed Asia Pacific Index
10/2/2012* Vanguard VWO VWO MSCI Emerging Markets Index FTSE Emerging Index
10/2/2012* Vanguard VXUS VXUS MSCI ACWI ex USA IMI Index FTSE Global All Cap Ex US Index
10/2/2012* Vanguard VEA VEA MSCI EAFE Index FTSE Developed ex North America Index
10/2/2012* Vanguard VTI VTI MSCI US Broad Market Index CRSP US Total Market Index
10/2/2012* Vanguard MGC MGC MSCI US Large Cap 300 Index CRSP US Mega Cap Index
10/2/2012* Vanguard MGK MGK MSCI US Large Cap Growth Index CRSP US Mega Cap Growth Index
10/2/2012* Vanguard MGV MGV MSCI US Large Cap Value Index CRSP US Mega Cap Value Index
10/2/2012* Vanguard VV VV MSCI US Prime Market 750 Index CRSP US Large Cap Index
10/2/2012* Vanguard VUG VUG MSCI US Prime Market Growth Index CRSP US Large Cap Growth Index
10/2/2012* Vanguard VTV VTV MSCI US Prime Market Value Index CRSP US Large Cap Value Index
10/2/2012* Vanguard VO VO MSCI US Mid Cap 450 Index CRSP US Mid Cap Index
10/2/2012* Vanguard VOT VOT MSCI US Mid Cap Growth Index CRSP US Mid Cap Growth Index
10/2/2012* Vanguard VOE VOE MSCI US Mid Cap Value Index CRSP US Mid Cap Value Index
10/2/2012* Vanguard VB VB MSCI US Small Cap 1750 Index CRSP US Small Cap Index
10/2/2012* Vanguard VBK VBK MSCI US Small Cap Growth Index CRSP US Small Cap Growth Index
10/2/2012* Vanguard VBR VBR MSCI US Small Cap Value Index CRSP US Small Cap Value Index
10/17/2012 BlackRock ISI ITOT S&P Composite 1500 S&P Composite 1500

NOTE: Italicized rows indicate changes that are not yet effective. * indicates the announcement date of the change, rather than the actual change.


 


The following ETFs and ETNs have been launched in 2012:

Launch Fund Ticker Exchange
1/10/2012 iShares MSCI Hong Kong Small Cap Index Fund EWHS NYSE Arca
1/10/2012 iShares MSCI Singapore Small Cap Index Fund EWSS NYSE Arca
1/10/2012 iShares MSCI World Index ETF URTH NYSE Arca
1/10/2012 ProShares 30 Year TIPS/TSY Spread RINF NYSE Arca
1/10/2012 ProShares Short 30 Year TIPS/TSY Spread FINF NYSE Arca
1/11/2012 AdvisorShares Rockledge SectorSAM ETF SSAM NYSE Arca
1/11/2012 Direxion S&P 1500 RC Volatility Response Shares ETF VSPR NYSE Arca
1/11/2012 Direxion S&P 500 RC Volatility Response Shares ETF VSPY NYSE Arca
1/11/2012 Direxion S&P Latin America 40 RC Volatility Response Shares ETF VLAT NYSE Arca
1/12/2012 SPDR S&P Emerging Asia Pacific ETF GMFS NYSE Arca
1/13/2012 PowerShares S&P Emerging Markets Low Volatility Portfolio EELV NYSE Arca
1/13/2012 PowerShares S&P International Developed Low Volatility Portfolio IDLV NYSE Arca
1/18/2012 iShares MSCI Emerging Markets EMEA Index Fund EEME Nasdaq GM
1/18/2012 iShares MSCI Emerging Markets Latin America EEML Nasdaq GM
1/23/2012 iShares MSCI Norway Capped Investable Market Index Fund ENOR BATS
1/24/2012 ProShares German Sovereign/Sub-Sovereign ETF GGOV NYSE Arca
1/25/2012 AdvisorShares Accuvest Global Opportunities ETF ACCU NYSE Arca
1/25/2012 iShares MSCI Australia Small Cap Index Fund EWAS BATS
1/25/2012 iShares MSCI Canada Small Cap Index Fund EWCS BATS
1/25/2012 iShares MSCI Denmark Capped Investable Market Index Fund EDEN BATS
1/25/2012 iShares MSCI Finland Capped Investable Market Index Fund EFNL BATS
1/25/2012 iShares MSCI Germany Small Cap Index Fund EWGS BATS
1/25/2012 iShares MSCI United Kingdom Small Cap Index Fund EWUS BATS
1/31/2012 iShares MSCI Global Agricultural Producers Fund VEGI NYSE Arca
1/31/2012 iShares MSCI Global Energy Producers Fund FILL NYSE Arca
1/31/2012 iShares MSCI Global Gold Miners Fund RING NYSE Arca
1/31/2012 iShares MSCI Global Select Metals & Mining Producers Fund PICK NYSE Arca
1/31/2012 iShares MSCI Global Silver Miners Fund SLVP NYSE Arca
2/2/2012 iShares MSCI All Country Asia ex Japan Small Cap Index Fund AXJS Nasdaq GM
2/2/2012 iShares MSCI India Index Fund INDA BATS
2/7/2012 Global X Permanent ETF PERM NYSE Arca
2/7/2012 ProShares UltraPro 10 Year TIPS/TSY Spread ETF UINF NYSE Arca
2/7/2012 ProShares UltraPro Short 10 Year TIPS/TSY Spread ETF SINF NYSE Arca
2/7/2012 VelocityShares 2x Inverse Copper ETN SCPR NYSE Arca
2/7/2012 VelocityShares 2x Long Copper ETN LCPR NYSE Arca
2/7/2012 VelocityShares 3x Inverse Brent Crude ETN DOIL NYSE Arca
2/7/2012 VelocityShares 3x Inverse Crude Oil ETN DWTI NYSE Arca
2/7/2012 VelocityShares 3x Inverse Natural Gas ETN DGAZ NYSE Arca
2/7/2012 VelocityShares 3x Long Brent Crude ETN UOIL NYSE Arca
2/7/2012 VelocityShares 3x Long Crude Oil ETN UWTI NYSE Arca
2/7/2012 VelocityShares 3x Long Natural Gas ETN UGAZ NYSE Arca
2/8/2012 iShares MSCI All Country Asia Information Technology Index Fund AAIT Nasdaq GM
2/8/2012 iShares MSCI Emerging Markets Asia Index Fund EEMA Nasdaq GM
2/8/2012 iShares MSCI Emerging Markets Consumer Discretionary Sector Index Fund EMDI Nasdaq GM
2/8/2012 iShares MSCI Emerging Markets Energy Sector Capped Index Fund EMEY Nasdaq GM
2/8/2012 iShares MSCI Emerging Markets Growth Index Fund EGRW Nasdaq GM
2/8/2012 iShares MSCI Emerging Markets Value Index Fund EVAL Nasdaq GM
2/8/2012 iShares MSCI India Small Cap Index Fund SMIN BATS
2/14/2012 First Trust Australia AlphaDex Fund FAUS NYSE Arca
2/14/2012 First Trust Canada AlphaDex Fund FCAN NYSE Arca
2/14/2012 First Trust Germany AlphaDex Fund FGM NYSE Arca
2/14/2012 First Trust Hong Kong AlphaDex Fund FHK NYSE Arca
2/14/2012 First Trust Switzerland AlphaDex Fund FSZ NYSE Arca
2/14/2012 First Trust Taiwan AlphaDex Fund FTW NYSE Arca
2/14/2012 First Trust United Kingdom AlphaDex Fund FKU NYSE Arca
2/14/2012 iShares Aaa-A Rated Corporate Bond Fund QLTA NYSE Arca
2/14/2012 iShares Barclays CMBS Bond Fund CMBS NYSE Arca
2/14/2012 iShares Barclays GNMA Bond Fund GNMA NYSE Arca
2/14/2012 iShares Barclays U.S. Treasury Bond Fund GOVT NYSE Arca
2/14/2012 iShares Financial Sector Bond Fund MONY NYSE Arca
2/14/2012 iShares Industrials Sector Bond Fund ENGN NYSE Arca
2/14/2012 iShares Utilities Sector Bond Fund AMPS NYSE Arca
2/14/2012 Market Vectors Unconventional Oil & Gas ETF FRAK NYSE Arca
2/15/2012 First Trust Developed Markets ex-US Small Cap AlphaDex Fund FDTS NYSE Arca
2/15/2012 First Trust Emerging Markets Small Cap AlphaDex Fund FEMS NYSE Arca
2/23/2012 iShares Asia/Pacific Dividend 30 Index Fund DVYA NYSE Arca
2/23/2012 iShares Emerging Markets Dividend Index Fund DVYE NYSE Arca
2/24/2012 PowerShares S&P Emerging Markets High Beta Portfolio EEHB NYSE Arca
2/24/2012 PowerShares S&P International Developed High Beta Portfolio IDHB NYSE Arca
2/27/2012 SPDR MSCI EM 50 ETF EMFT NYSE Arca
2/28/2012 SPDR MSCI ACWI IMI ETF ACIM NYSE Arca
3/1/2012 Pimco Total Return ETF TRXT NYSE Arca
3/8/2012 WisdomTree Emerging Markets Corporate Bond Fund EMCB NYSE Arca
3/13/2012 Yorkville High Income MLP ETF YMLP NYSE Arca
3/14/2012 Russell High Dividend Yield ETF HDIV NYSE Arca
3/14/2012 Russell Small Cap High Dividend Yield DIVS NYSE Arca
3/15/2012 SPDR Barclays Capital Short Term High Yield Bond SJNK NYSE Arca
3/20/2012 Market Vectors Indonesia Small Cap IDXJ NYSE Arca
3/21/2012 Direxion Nasdaq 100 Equal Weighted Index Shares QQQE NYSE Arca
3/21/2012 ETRACS Monthly Pay 2X Leveraged Dow Jones International Real Estate ETN RWXL NYSE Arca
3/27/2012 ProShares UltraPro Short 20+ Year Treasury ETF TTT NYSE Arca
3/28/2012 Guggenheim BulletShares 2018 Corporate Bond ETF BSCI NYSE Arca
3/28/2012 Guggenheim BulletShares 2019 Corporate Bond ETF BSCJ NYSE Arca
3/28/2012 Guggenheim BulletShares 2020 Corporate Bond ETF BSCK NYSE Arca
3/28/2012 Teucrium Agricultural Fund TAGS NYSE Arca
4/2/2012 Market Vectors International High Yield Bond ETF IHY NYSE Arca
4/3/2012 iShares Emerging Markets High Yield Bond Fund EMHY BATS
4/3/2012 iShares Global ex USD High Yield Corporate Bond Fund HYXU BATS
4/3/2012 iShares Global High Yield Corporate Bond Fund GHYG BATS
4/5/2012 iShares Morningstar Multi-Asset Income Index Fund IYLD BATS
4/10/2012 Market Vectors Fallen Angel High Yield Bond ETF ANGL NYSE Arca
4/13/2012 RBS China Trendpilot ETN TCHI NYSE Arca
4/13/2012 U.S. Agricultural Index Fund USAG NYSE Arca
4/17/2012 iShares Emerging Markets Corporate Bond Fund CEMB BATS
4/18/2012 Global X MLP ETF MLPA NYSE Arca
4/24/2012 iShares Baa-Ba Corporate Bond Fund QLTB NYSE Arca
4/24/2012 iShares B-Ca Corporate Bond Fund QLTC NYSE Arca
4/25/2012 Guggenheim BulletShares 2016 High Yield Corporate Bond BSJG NYSE Arca
4/25/2012 Guggenheim BulletShares 2017 High Yield Corporate Bond BSJH NYSE Arca
4/25/2012 Guggenheim BulletShares 2018 High Yield Corporate Bond BSJI NYSE Arca
4/25/2012 Market Vectors Morningstar Wide Moat Research MOAT NYSE Arca
4/25/2012 SPDR SSgA Global Allocation ETF GAL NYSE Arca
4/25/2012 SPDR SSgA Income Allocation ETF INKM NYSE Arca
4/25/2012 SPDR SSgA Multi-Asset Real Return ETF RLY NYSE Arca
4/26/2012 ETRACS DJ-UBS Commodity Index 2-4-6 Blended Futures ETN BLND NYSE Arca
4/30/2012 Pimco Global Advantage Inflation-Linked Bond Strategy Fund ILB NYSE Arca
5/8/2012 Arrow Dow Jones Global Yield ETF GYLD NYSE Arca
5/9/2012 Market Vectors Emerging Markets High Yield Bond ETF HYEM NYSE Arca
5/21/2012 ProShares USD Covered Bond ETF COBO NYSE Arca
5/23/2012 AdvisorShares Global Echo ETF GIVE NYSE Arca
5/23/2012 Etracs Monthly Pay 2x Leveraged Dow Jones Select Dividendd Index ETN DVYL NYSE Arca
5/23/2012 Etracs Monthly Pay 2x Leveraged S&P Dividend ETN SDYL NYSE Arca
5/31/2012 AlphaClone Alternative Alpha ETF ALFA NYSE Arca
6/4/2012 Global X Top Guru Holdings Index ETF GURU NYSE Arca
6/6/2012 Stream S&P Dynamic Roll Global Commodities Fund BNPC NYSE Arca
6/11/2012 UBS AG FI Enhanced Big Cap Growth ETN FBG NYSE Arca
6/12/2012 Sustainable North American Oil Sands ETN SNDS NYSE Arca
6/18/2012 SPDR BofA Merrill Lynch Crossover Corporate Bond ETF XOVR NYSE Arca
6/18/2012 SPDR BofA Merrl Lynch Emerging Markets Coporate Bond ETF EMCD NYSE Arca
6/19/2012 United States Metal Fund USMI NYSE Arca
6/20/2012 Huntington EcoLogical Strategy ETF HECO NYSE Arca
6/21/2012 First Trust North American Energy Infrastructure Fund EMLP NYSE Arca
6/26/2012 ProShares Short Euro ETF EUFX NYSE Arca
6/29/2012 ALPS Sector Dividend Dogs ETF SDOG NYSE Arca
7/10/2012 AdvisorShares Global Alpha & Beta ETF RRGR NYSE Arca
7/10/2012 ProShares UltraPro Financials ETF FINU NYSE Arca
7/10/2012 ProShares UltraPro Short Financials ETF FINZ NYSE Arca
7/16/2012 Market Vectors Preferred Securities Ex Financials ETF PFXF NYSE Arca
7/17/2012 Global X SuperIncome Preferred ETF SPFF NYSE Arca
7/18/2012 Etracs Alerian MLP Index ETN AMU NYSE Arca
7/19/2012 PowerShares DWA SmallCap Technical Leaders Portfolio DWAS NYSE Arca
7/19/2012 ProShares Ultra Australian Dollar ETF GDAY NYSE Arca
7/19/2012 ProShares UltraShort Australian Dollar ETF CROC NYSE Arca
7/25/2012 Huntington US Equity Rotation Strategy ETF HUSE NYSE Arca
8/7/2012 QAM Equity Hedge ETF QEH NYSE Arca
8/14/2012 First Trust Multi-Asset Diversified Income Index Fund MDIV Nasdaq GM
8/14/2012 First Trust Nasdaq Technology Dividend Index Fund TDIV Nasdaq GM
8/15/2012 EGShares Beyond BRICs ETF BBRC NYSE Arca
8/15/2012 EGShares Emerging Markets Domestic Demand ETF EMDD NYSE Arca
8/30/2012 First Trust CBOE S&P 500 VIX Tail Hedge Index Fund VIXH NYSE Arca
9/5/2012 RBS US Large Cap Alternator ETN ALTL NYSE Arca
9/13/2012 iShares MSCI Frontier 100 Index Fund FM

NYSE Arca
9/18/2012 STAR Global Buy-Write ETF VEGA NYSE Arca
9/19/2012 WisdomTree China Dividend Ex-Financials Fund CHXF Nasdaq GM
9/28/2012 FlexShares Morningstar Emerging Markets Factor Tilt Index Fund TLTE NYSE Arca
9/28/2012 FlexShares Morningstar Developed Markets ex-US Factor Tilt Index Fund TLTD NYSE Arca
10/4/2012 IQ Hedge Market Neutral Tracker ETF QMN NYSE Arca
10/11/2012 Barclays ETN+ Shiller CAPE ETN CAPE NYSE Arca
10/11/2012 FlexShares Ready Access Variable Income Fund RAVI NYSE Arca
10/16/2012 Vanguard Short-Term Inflation-Protected Securities Index Fund VTIP NYSE Arca
10/16/2012 EGShares Emerging Markets Core ETF EMCR NYSE Arca
10/17/2012 Etracs Monthly Pay 2x Leveraged Mortgage REIT ETN MORL NYSE Arca
10/18/2012 PowerShares S&P 500 High Dividend Portfolio SPHD NYSE Arca
10/22/2012 iShares Core MSCI Total International Stock ETF IXUS NYSE Arca
10/22/2012 iShares Core MSCI Emerging Markets ETF IEMG NYSE Arca
10/22/2012 iShares Core MSCI EAFE ETF IEFA NYSE Arca
10/22/2012 iShares Core Short-Term U.S. Bond ETF ISTB NYSE Arca
10/25/2012 SPDR S&P 1500 Value Tilt ETF VLU NYSE Arca
10/25/2012 SPDR S&P 1500 Momentum Tilt ETF MMTM NYSE Arca


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