|
Need assistance?
Contact Sales: 1.877.394.8826 Contact Customer Support: 1.800.833.9844 or Chat with a Support Representative
Toggle Nav
Regulation of Exchange-Traded Funds
Written by practitioners for practitioners this book provides practical and regulatory advice on the myriad legal, regulatory, and compliance issues that must be dealt with properly when registering and operating ETFs.
Publisher: Matthew Bender
View other formats
International Order InquiryView a sample of this title using the ReadNow feature
eBooks, CDs, downloadable content, and software purchases are noncancelable, nonrefundable and nonreturnable. Click here for more information about LexisNexis eBooks. The eBook versions of this title may feature links to Lexis+® for further legal research options. A valid subscription to Lexis+® is required to access this content.
Chapter 1 Introduction to ETFs
Chapter 2 The ETF Marketplace
Chapter 3 ETF Investors and Their Trading and Investment Strategies
Chapter 4 Organizing an ETF
Chapter 5 ETF Operations - Creation, Redemption, and Transactions in Shares
Chapter 6 SEC Regulation of ETFs: Part I
Chapter 7 SEC (and Other) Regulation Part II
Chapter 8 ETF Selling Activities
Chapter 9 Other Exchange-Traded Products
Appendices
Appendix A Organization of Open End Exchange-Traded Investment Company (ETF) and Registration with SEC.
Appendix B Combination Exchange-Traded Funds, SEC No-Action Letter (pub. avail. June 27, 2007)
Appendix C Class Relief for Fixed-Income Exchange-Traded Funds, SEC No-Action Letter (Apr. 9, 2007)
Appendix D Class Relief for Exchange Traded Funds, SEC No-Action Letter (pub. avail. Oct. 24, 2006) (updates 2001 Class Relief Letter).
Appendix E Exemptive Relief for Exchange Traded Funds, SEC No-Action Letter (pub. avail. Aug. 17, 2001)
Appendix F Investment Company Act Release No. 28193 (Mar. 11, 2008)
Appendix G iShares Trust, SEC No-Action Letter (pub. avail. Oct. 22, 2008)
Appendix H Investment Company Act Release No. 25258 (Nov. 8, 2001)
Appendix I Investment Company Act Release No. 31300 (Oct. 21, 2014)
Appendix J Investment Company Act Release No 31333 (Eaton Vance),
Appendix K Select Sector SPDR Trust, SEC No-Action Letter (pub. avail. May 6, 1999)
Appendix L PDR Services Corporation, SEC No-Action Letter (pub. avail. Dec. 14, 1998)
Appendix M Letter from Catherine McGuire, Chief Counsel, Division of Trading and Markets to the Securities Industry Assoc. (dated Nov. 21, 2005)
Appendix N Treasury 10 FITR Exchange Traded Fund, SEC No-Action Letter (pub. avail. Nov. 1, 2002)
Appendix O Securities Exchange Act Release No. 67215 (June 19, 2012)
Appendix P Letter from Racquel L. Russell, Esq., Branch Chief, Division of Market Regulation, to George T. Simon, Esq. Foley & Lardner LLP (pub. avail. June 21, 2006)
Appendix Q Select Sector SPDR Fund and Diamonds Trust, SEC Staff No-Action Letter (pub. avail. July 6, 2000)
Appendix R Sample Participation Agreement
Appendix S Generic Section 12(d)(1) procedures
Appendix T Claymore Advisors, LLC, SEC No-Act. Letter (Apr. 27, 2010)
Appendix U Merger of Two Exchange-Traded Funds
Appendix V Letter from Elizabeth Osterman, SEC (Dec. 6, 2012)
Appendix W Non-Traditional ETFs
Appendix X Leveraged and Inverse ETFs: Specialized Products with Extra Risks for Buy-and-Hold Investors
Appendix Y Exchange-Traded Fund Performance. NASD Regulatory & Compliance Alert - Fall 2001
Chapter 2 The ETF Marketplace
Chapter 3 ETF Investors and Their Trading and Investment Strategies
Chapter 4 Organizing an ETF
Chapter 5 ETF Operations - Creation, Redemption, and Transactions in Shares
Chapter 6 SEC Regulation of ETFs: Part I
Chapter 7 SEC (and Other) Regulation Part II
Chapter 8 ETF Selling Activities
Chapter 9 Other Exchange-Traded Products
Appendices
Appendix A Organization of Open End Exchange-Traded Investment Company (ETF) and Registration with SEC.
Appendix B Combination Exchange-Traded Funds, SEC No-Action Letter (pub. avail. June 27, 2007)
Appendix C Class Relief for Fixed-Income Exchange-Traded Funds, SEC No-Action Letter (Apr. 9, 2007)
Appendix D Class Relief for Exchange Traded Funds, SEC No-Action Letter (pub. avail. Oct. 24, 2006) (updates 2001 Class Relief Letter).
Appendix E Exemptive Relief for Exchange Traded Funds, SEC No-Action Letter (pub. avail. Aug. 17, 2001)
Appendix F Investment Company Act Release No. 28193 (Mar. 11, 2008)
Appendix G iShares Trust, SEC No-Action Letter (pub. avail. Oct. 22, 2008)
Appendix H Investment Company Act Release No. 25258 (Nov. 8, 2001)
Appendix I Investment Company Act Release No. 31300 (Oct. 21, 2014)
Appendix J Investment Company Act Release No 31333 (Eaton Vance),
Appendix K Select Sector SPDR Trust, SEC No-Action Letter (pub. avail. May 6, 1999)
Appendix L PDR Services Corporation, SEC No-Action Letter (pub. avail. Dec. 14, 1998)
Appendix M Letter from Catherine McGuire, Chief Counsel, Division of Trading and Markets to the Securities Industry Assoc. (dated Nov. 21, 2005)
Appendix N Treasury 10 FITR Exchange Traded Fund, SEC No-Action Letter (pub. avail. Nov. 1, 2002)
Appendix O Securities Exchange Act Release No. 67215 (June 19, 2012)
Appendix P Letter from Racquel L. Russell, Esq., Branch Chief, Division of Market Regulation, to George T. Simon, Esq. Foley & Lardner LLP (pub. avail. June 21, 2006)
Appendix Q Select Sector SPDR Fund and Diamonds Trust, SEC Staff No-Action Letter (pub. avail. July 6, 2000)
Appendix R Sample Participation Agreement
Appendix S Generic Section 12(d)(1) procedures
Appendix T Claymore Advisors, LLC, SEC No-Act. Letter (Apr. 27, 2010)
Appendix U Merger of Two Exchange-Traded Funds
Appendix V Letter from Elizabeth Osterman, SEC (Dec. 6, 2012)
Appendix W Non-Traditional ETFs
Appendix X Leveraged and Inverse ETFs: Specialized Products with Extra Risks for Buy-and-Hold Investors
Appendix Y Exchange-Traded Fund Performance. NASD Regulatory & Compliance Alert - Fall 2001