Americas ETP News
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BNP Paribas files with the SEC
December 1, 2011--BNP Paribas has filed a pre-effective amendment No.3 to Form S-1 with the SEC for the BNP Paribas S&P Dynamic Roll Global Commodities Fund.
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Source: SEC.gov
Fidelity files with the SEC
November 1, 2011--Fidelity has filed a application for exemptive relief with the SEC.
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Source: SEC.gov
Morgan Stanley-ETF Quarterly
Quarterly Report: $1.0 Trillion in 1,173 ETFs
November 30, 2011--Highlights
ETF assets are essentially flat YTD amid volatile
markets. We currently stand at $1.0 trillion spread among 1,173 products. New issuance has been strong this year with 215 ETFs coming to market;
however, third quarter net inflows ($19.3 billion) were the lowest since the first quarter of 2010.
Below average third quarter flows were undoubtedly driven by volatile markets and a lack of investor conviction
as the quarter came to an end. Fixed Income ETFs generated the largest net inflows during the third
quarter while US Sector & Industry ETFs posted meaningful net outflows.
request report
Source: Morgan Stanley
Congress push to relax US securities laws
November 30, 2011--Proposals for a big relaxation of US securities laws are being pushed forward in the US Senate in the face of opposition from state regulators, academics and a group of Democrats.
A hearing of the Senate banking committee will examine on Thursday a package of measures to encourage “capital formation” that has drawn White House support but which critics warn could hurt investors and make markets more opaque.
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Source: FT.com
Fed’s liquidity action prompts move out of dollar
November 30, 2011--Appetite for commodity currencies improved sharply on Wednesday after the US Federal Reserve announced a surprise move with five other central banks to improve liquidity in the financial system.
The US dollar fell across the board as investors moved into riskier currencies as central banks in Europe, Canada, the UK, Japan and Switzerland said they had agreed with the Fed to lower pricing on existing US dollar swaps and offer liquidity in each other’s currencies if needed.
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Source: FT.com
PowerShares files with the SEC
November 30, 2011--Invesco PowerShares has filed a pots-effective amendment no. 18 to Form S-6 with the SEC for the POWERSHARES QQQ TRUSTSM , SERIES 1.
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Source: SEC.gov
AdvisorShares files with the SEC
November 30, 2011--AdvisorShares has filed a post-effective amendment No. 42, registration statement with the SEC for the QAM Equity Hedge ETF.
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Source: SEC.gov
State Street files with the SEC
November 30. 2011--State Street has filed a post-effective amendment no.75, registration statement for the SPDR Barclays Capital Investment Grade Floating Rate ETF (FLRN).
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Source: SEC.gov
US SEC's Schapiro asks for tougher penalty powers
SEC seeks greater power to impose harsher penalties
SEC request comes after Citi settlement rejected
SEC wants to calculate penalties on investor losses
SEC also wants to increase amount of fine per violation
November 29, 2011 -U.S. Securities and Exchange Commission Chairman Mary Schapiro is asking Congress to expand its powers so it can impose tougher financial penalties against wrongdoers on Wall Street.
Schapiro's request, in a Nov. 28 letter to two U.S. senators, comes as the agency is under fire for entering settlements that a federal judge criticized as too lenient.
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Source: Reuters
ProShares files with the SEC
November 29, 2011--ProShares has filed a Form S-1 registration statement with the SEC.
view filing
Source: SEC.gov
