Regulation of Exchange-Traded Funds
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Table of contents
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
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
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