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Legg Mason files with the SEC
December 8, 2011--Legg Mason has filed a pre-effective amendment, registration statement with the SEC for the Legg Mason Western Asset Ultra-Short Duration ETF.
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Source: SEC.gov
Krane Funds files with the SEC
December 8, 2011--Krane Funds Advisors LLC., has filled an application for exemptive relief with the SEC.
view filingview filing
Source: SEC.gov
Standard & Poor's Announces Changes in the S&P/TSX Venture Composite Index
December 8, 2011-Standard & Poor's will make the following changes in the S&P/TSX Venture Composite and Select Indices:
The shares of SkyWest Energy Corp. (TSXVN:SKW.V - News) will trade under the new name Marquee Energy Ltd. following the completion of a Plan of Arrangement.
The new ticker symbol will be "MQL" and the new CUSIP number will be 57142R 10 9. There will be no change in the capitalization of the company at this time in either the S&P/TSX Venture Composite Index or the S&P/TSX Venture Select Index. This change is effective after the close of trading on Thursday, December 8, 2011 .
Company additions to and deletions from an S&P equity index do not in any way reflect an opinion on the investment merits of the company.
Source: S&P Indices
Direxion files with the SEC
December 7, 2011--Direxion has filed a psot-effective amendment, registration statement with the SEC for India Fixed-Income Funds. India Equity Funds and
India Sector Funds
view filing
Source: SEC.gov
CFTC Announces Public Meeting of the Technology Advisory Committee
Committee to Focus on Market Structure, the Role of High Frequency Traders, and Interim Recommendations of the Subcommittee on Data Standardization
December 7, 2011--The Commodity Futures Trading Commission (CFTC) announces that on December 13, 2011, the CFTC’s Technology Advisory Committee (the “TAC”) will hold a public meeting at the Commission’s headquarters in Washington, DC. This year-end meeting will focus on three significant issues facing the futures and swaps industries as the Commission continues to finalize rules under the Dodd-Frank Act. Those issues are: (1) what we can expect to see in the new trading environment of swap execution facilities (SEFs);
(2) defining, classifying, and observing high frequency traders (HFTs) and their impact on the markets; and
(3) and interim recommendations from the Subcommittee on Data Standardization on universal product and legal entity identifiers, standardization of machine-readable legal contracts, semantics, and data storage and retrieval.
The topics covered by the TAC today represent several interesting technology related subjects the Commission will be dealing with next year. It is my hope that we can draw on the extensive market expertise of our members to identify and highlight possible policy solutions in each of the three topic areas,” stated Commissioner Scott D. O’Malia, Chairman of the TAC.
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Source: CFTC.gov
CFTC’s Division of Market Oversight Issues Guidebook for Part 20 Reports
December 7, 2011--The Commodity Futures Trading Commission’s Division of Market Oversight today issued a Guidebook for Part 20 Reports providing additional guidance and detailed instructions for submitting large swaps trader reports to the Commission.
On July 22, 2011, the Commission published a new Part 20 of the Commission’s Regulations in the Federal Register that requires large trader reports for physical commodity swaps. Clearing organizations and clearing members were required to begin reporting on cleared swaps on November 21, 2011, and are required to begin reporting on uncleared swaps on January 20, 2012. In addition, the Division requires fully compliant month-end open interest reports to be collected beginning in September 2011 through February 2012 and submitted to the Commission by March 20, 2012.
The Guidebook includes a data dictionary for mapping data elements to a record layout, interim and final reporting formats and record layouts for the submission of reports and 102S filings, and multiple examples for converting and reporting swaps in futures equivalent units.
view the Large Trader Reporting for Physical Commodity Swaps: Division of Market Oversight Guidebook for Part 20 Reports
Source: CFTC.gov
SSgA Hopes to Launch Active ETFs in 2012
2012 could see the second largest ETF player entering the active ETF market
December 7, 2011--"We hope to introduce our first set of active ETFs in 2012," Jim Ross global head of ETFs at State Street Global Advisors, told The MFWire.com.
"The initial set is probably going to be a suite of five to six active ETFs rolled out over a few months."
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Source: Mutual Fund Wire
iShares files with the SEC
December 7, 2011--iShares has filed a Form S-1 with the SEC for the iShares® Dow Jones-UBS Roll Select Commodity Index Trust.
view fiing
Source: SEC.gov
State Street files with the SEC
December 7, 2011--State Street has filed a post-effective amendment no.38, regsistration statement with the SEC for the SPDR MSCI EM 50 ETF.
view filing
Source: SEC.gov
State Street files with the SEC
December 7, 2011--State Street has filed a post-effective amendment No. 78, registration statement with the SEC for the SPDR® Barclays Capital Global Convertible Securities ETF (GCWB).
view filing
Source: SEC.gov
