ETF Watch: Russell To Shutter All But 1 Of Its ETFs

IndexUniverse Staff
0


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MONDAY, AUG. 20

Russell Throws In The Towel On Its Index ETFs
Russell Investments , the money management firm that began launching its own ETFs in May 2011 with a distilled focus on indexed smart-beta strategies, will close all but one of its funds because they haven't gathered the assets to justify their continued existence.

Following is a list of the funds Russell is shutting down:

  • Russell 1000 High Beta ETF (HBTA)

  • Russell 1000 Low Beta ETF (LBTA)

  • Russell 1000 High Volatility ETF (NYSEArca 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 ETF (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)


FlexShares Files To Offer 6 Dividend-Focused ETFs
FlexShares , the ETF arm of Northern Trust, filed regulatory paperwork with the U.S. Securities and Exchange Commission that focus on U.S. and international stocks, and have rules-based indexes that screen for different levels of volatility.

The six funds are:

  • FlexShares Quality Dividend Index Fund

  • FlexShares Quality Dividend Dynamic Index Fund

  • FlexShares Quality Dividend Defensive Index Fund

  • FlexShares International Quality Dividend Index Fund

  • FlexShares International Quality Dividend Dynamic Index Fund

  • FlexShares International Quality Dividend Defensive Index Fund


FlexShares Files To Self-Index ETFs
FlexShares , Northern Trust's ETF arm, filed paperwork with the SEC to market ETFs using its own indexes, joining a growing trend in the ETF industry aimed at cutting costs for ETF sponsors.



  • New Listings and Filings

  • ETFs in Registration

  • Exemptive Relief Filings

  • ETF Closures

  • Index and Ticker Changes

  • YTD ETF Launches

ETFs Filed—By Fund Company

There are currently 752 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

STAR Global Buy-Write ETF

VEGA

NYSE Arca

N/A

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%


.

.

.

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 MSCI Frontier Emerging Markets Select 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

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 ETF

N/A

NYSE Arca

0.70%

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

AlphaClone Alternative Alpha ETF

ALFA

NYSE Arca

0.95%

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





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 CBOE VIX Tail Hedge Index Fund

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


.

.

.

Forum

Merk Hard Currency ETF

HRD

NYSE Arca

N/A


.

.

.

GencapVentures

PureFunds ISE Mineral ETF

N/A

NYSE Arca

N/A

PureFunds ISE Resource Exploration and Extraction ETF

N/A

NYSE Arca

N/A

PureFunds ISE Mining ETF

N/A

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

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 Market Neutral

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


.

.

.

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


.

.

.

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 Liquid Access Fund

N/A

N/A

N/A

FlexShares Morningstar Developed ex-U.S. Markets Factor Tilt Index Fund

TLTD

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 S'P 500 High Dividend Portfoliio

SPHD

NYSE Arca

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 Ga s

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


.

.

.

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


.

.

.

Vanguard

Vanguard Total International Bond ETF

N/A

NYSE Arca

N/A

Vanguard Emerging Markets Government Bond ETF

N/A

NYSE Arca

N/A

Vanguard Short-Term Inflation-Protected Securities ETF

N/A

NYSE Arca

0.10%


.

.

.

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

WisdomTree China Divided Ex-Financials 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




  • New Listings and Filings

  • ETFs in Registration

  • Exemptive Relief Filings

  • ETF Closures

  • Index and Ticker Changes

  • YTD ETF Launches

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

20-Aug-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

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

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




  • New Listings and Filings

  • ETFs in Registration

  • Exemptive Relief Filings

  • ETF Closures

  • Index and Ticker Changes

  • YTD ETF Launches

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


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


  • New Listings and Filings

  • ETFs in Registration

  • Exemptive Relief Filings

  • ETF Closures

  • Index and Ticker Changes

  • YTD ETF Launches

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


NOTE:Italicized rows indicate changes that are not yet effective.


  • New Listings and Filings

  • ETFs in Registration

  • Exemptive Relief Filings

  • ETF Closures

  • Index and Ticker Changes

  • YTD ETF Launches


The following ETFs and ETNs have been launched in 2012:

Launch

Fund

Ticker

Exchange

01/11/2012

Direxion S'P 1500 RC Volatility Response Shares ETF

VSPR

NYSE Arca

01/11/2012

Direxion S'P 500 RC Volatility Response Shares ETF

VSPY

NYSE Arca

01/11/2012

Direxion S'P Latin America 40 RC Volatility Response Shares ETF

VLAT

NYSE Arca

01/11/2012

iShares MSCI World Index ETF

URTH

NYSE Arca

01/11/2012

iShares MSCI Hong Kong Small Cap Index Fund

EWHS

NYSE Arca

01/11/2012

iShares MSCI Singapore Small Cap Index Fund

EWSS

NYSE Arca

01/12/2012

SPDR S'P Emerging Asia Pacific ETF

GMFS

NYSE Arca

01/12/2012

AdvisorShares Rockledge SectorSAM ETF

SSAM

NYSE Arca

01/12/2012

ProShares 30 Year TIPS/TSY Spread

RINF

NYSE Arca

01/12/2012

ProShares Short 30 Year TIPS/TSY Spread

FINF

NYSE Arca

01/13/2012

PowerShares S'P Emerging Markets Low Volatility Portfolio

EELV

NYSE Arca

01/13/2012

PowerShares S'P International Developed Low Volatility Portfolio

IDLV

NYSE Arca

01/19/2012

iShares MSCI Emerging Markets Latin America

EEML

Nasdaq GM

01/19/2012

iShares MSCI Emerging Markets EMEA Index Fund

EEME

Nasdaq GM

01/24/2012

iShares MSCI Norway Capped Investable Market Index Fund

ENOR

BATS

01/26/2012

ProShares German Sovereign/Sub-Sovereign ETF

GGOV

NYSE Arca

01/26/2012

AdvisorShares Accuvest Global Opportunities ETF

AACU

NYSE Arca

01/27/2012

iShares MSCI Denmark Capped Investable Market Index Fund

EDEN

BATS

01/27/2012

iShares MSCI Finland Capped Investable Market Index Fund

EFNL

BATS

01/27/2012

iShares MSCI Australia Small Cap Index Fund

EWAS

BATS

01/27/2012

iShares MSCI Canada Small Cap Index Fund

EWCS

BATS

01/27/2012

iShares MSCI Germany Small Cap Index Fund

EWGS

BATS

01/27/2012

iShares MSCI United Kingdom Small Cap Index Fund

EWUS

BATS

02/02/2012

iShares MSCI Global Gold Miners Fund

RING

NYSE Arca

02/02/2012

iShares MSCI Global Select Metals ' Mining Producers Fund

PICK

NYSE Arca

02/02/2012

iShares MSCI Global Energy Producers Fund

FILL

NYSE Arca

02/02/2012

iShares MSCI Global Agricultural Producers Fund

VEGI

NYSE Arca

02/02/2012

iShares MSCI Global Silver Miners Fund

SLVP

NYSE Arca

02/03/2012

iShares MSCI India Index Fund

INDA

BATS

02/03/2012

iShares MSCI All Country Asia ex Japan Small Cap Index Fund

AXJS

Nasdaq GM

02/08/2012

Global X Permanent ETF

PERM

NYSE Arca

02/08/2012

VelocityShares 3x Long Brent Crude ETN

UOIL

NYSE Arca

02/08/2012

VelocityShares 3x Inverse Brent Crude ETN

DOIL

NYSE Arca

02/08/2012

VelocityShares 3x Long Natural Gas ETN

UGAZ

NYSE Arca

02/08/2012

VelocityShares 3x Inverse Natural Gas ETN

DGAZ

NYSE Arca

02/08/2012

VelocityShares 3x Long Crude Oil ETN

UWTI

NYSE Arca

02/08/2012

VelocityShares 3x Inverse Crude Oil ETN

DWTI

NYSE Arca

02/08/2012

VelocityShares 3x Long Copper ETN

LCPR

NYSE Arca

02/08/2012

VelocityShares 3x Inverse Copper ETN

SCPR

NYSE Arca

02/09/2012

ProShares UltraPro 10 Year TIPS/TSY Spread ETF

UINF

BATS

02/09/2012

ProShares UltraPro Short 10 Year TIPS/TSY Spread ETF

SINF

Nasdaq GM

02/09/2012

iShares MSCI India Small Cap Index Fund

SMIN

Nasdaq GM

02/09/2012

iShares MSCI Emerging Markets Value Index Fund

EVAL

Nasdaq GM

02/09/2012

iShares MSCI Emerging Markets Asia Index Fund

EEMA

Nasdaq GM

02/09/2012

iShares MSCI Emerging Markets Growth Index Fund

EGRV

Nasdaq GM

02/09/2012

iShares MSCI Emerging Markets Consumer Discretionary Sector Index Fund

EMDI

Nasdaq GM

02/09/2012

iShares MSCI All Country Asia Information Technology Index Fund

AAIT

Nasdaq GM

02/09/2012

iShares MSCI Emerging Markets Energy Sector Capped Index Fund

EMEY

Nasdaq GM

02/15/2012

First Trust Australia AlphaDex Fund

FAUS

NYSE Arca

02/15/2012

First Trust United Kingdom AlphaDex Fund

FKU

NYSE Arca

02/15/2012

First Trust Taiwan AlphaDex Fund

FTW

NYSE Arca

02/15/2012

First Trust Hong Kong AlphaDex Fund

FHK

NYSE Arca

02/15/2012

First Trust Switzerland AlphaDex Fund

FSZ

NYSE Arca

02/15/2012

First Trust Germany AlphaDex Fund

FGM

NYSE Arca

02/15/2012

First Trust Canada AlphaDex Fund

FCAN

NYSE Arca

02/15/2012

Market Vectors Unconventional Oil ' Gas ETF

FRAK

NYSE Arca

02/16/2012

iShares Financial Sector Bond Fund

MONY

NYSE Arca

02/16/2012

iShares Industrials Sector Bond Fund

ENGN

NYSE Arca

02/16/2012

iShares Utilities Sector Bond Fund

AMPS

NYSE Arca

02/16/2012

iShares Aaa-A Rated Corporate Bond Fund

QLTA

NYSE Arca

02/16/2012

iShares Barclays CMBS Bond Fund

CMBS

NYSE Arca

02/16/2012

iShares Barclays U.S. Treasury Bond Fund

GOVT

NYSE Arca

02/16/2012

iShares Barclays GNMA Bond Fund

GNMA

Nasdaq GM

02/16/2012

First Trust Developed Markets ex-US Small Cap AlphaDex Fund

FDTS

NYSE Arca

02/16/2012

First Trust Emerging Markets Small Cap AlphaDex Fund

FEMS

NYSE Arca

02/24/2012

iShares Emerging Markets Dividend Index Fund

DVYE

NYSE Arca

02/24/2012

iShares Asia/Pacific Dividend 30 Index Fund

DVYA

NYSE Arca

02/24/2012

PowerShares S'P Emerging Markets High Beta Portfolio

EEHB

NYSE Arca

02/24/2012

PowerShares S'P International Developed High Beta Portfolio

IDHB

NYSE Arca

02/28/2012

SPDR MSCI EM 50 ETF

EMFT

NYSE Arca

02/28/2012

SPDR MSCI ACWI IMI ETF

ACIM

NYSE Arca

03/01/2012

Pimco Total Return ETF

BOND

NYSE Arca

03/08/2012

WisdomTree Emerging Markets Corporate Bond Fund

EMCB

Nasdaq GM

03/13/2012

Yorkville High Income MLP ETF

YMLP

NYSE Arca

03/15/2012

Russell High Dividend Yield ETF

HDIV

NYSE Arca

03/15/2012

Russell Small Cap High Dividend Yield ETF

DIVS

NYSE Arca

03/15/2012

SPDR Barclays Capital Short Term High Yield Bond ETF

SJNK

NYSE Arca

03/21/2012

Direxion Nasdaq 100 Equal Weighted Index Shares

QQQE

NYSE Arca

03/21/2012

ETRACS Monthly Pay 2X Leveraged Dow Jones International Real Estate ETN

RWXL

NYSE Arca

03/28/2012

Teucrium Agricultural Fund

TAGS

NYSE Arca

03/28/2012

Guggenheim BulletShares 2018 Corporate Bond ETF

BSCI

NYSE Arca

03/28/2012

Guggenheim BulletShares 2019 Corporate Bond ETF

BSCJ

NYSE Arca

03/28/2012

Guggenheim BulletShares 2020 Corporate Bond ETF

BSCK

NYSE Arca

03/29/2012

ProShares UltraPro Short 20+ Year Treasury ETF

TTT

NYSE Arca

04/03/2012

Market Vectors International High Yield Bond ETF

IHY

NYSE Arca

04/03/2012

iShares Global ex USD High Yield Corporate Bond Fund

HYXU

BATS

04/03/2012

iShares Emerging Markets High Yield Bond Fund

EMHY

BATS

04/05/2012

iShares Global High Yield Corporate Bond Fund

GHYG

BATS

04/05/2012

iShares Morningstar Multi-Asset Income Index Fund

IYLD

BATS

04/11/2012

Market Vectors Fallen Angel High Yield Bond ETF

ANGL

NYSE Arca

04/13/2012

U.S. Agricultural Index Fund

USAG

NYSE Arca

04/19/2012

Global X MLP ETF

MLPA

NYSE Arca

04/19/2012

iShares Emerging Markets Corporate Bond Fund

CEMB

BATS

04/19/2012

RBS China Trendpilot ETN

TCHI

NYSE Arca

04/25/2012

Guggenheim BulletShares 2016 High Yield Corporate Bond ETF

BSJG

NYSE Arca

04/25/2012

Guggenheim BulletShares 2017 High Yield Corporate Bond ETF

BSJH

NYSE Arca

04/25/2012

Guggenheim BulletShares 2018 High Yield Corporate Bond ETF

BSJI

NYSE Arca

04/25/2012

Market Vectors Morningstar Wide Moat Research ETF

MOAT

NYSE Arca

04/26/2012

iShares Baa-Ba Corporate Bond Fund

QLTB

BATS

04/26/2012

iShares B-Ca Corporate Bond Fund

QLTC

BATS

04/26/2012

SPDR SSgA Multi-Asset Real Return ETF

RLY

NYSE Arca

04/26/2012

SPDR SSgA Income Allocation ETF

INKM

NYSE Arca

04/26/2012

SPDR SSgA Global Allocation ETF

GAL

NYSE Arca

04/26/2012

ETRACS DJ-UBS Commodity Index 2-4-6 Blended Futures ETN

BLND

NYSE Arca

05/01/2012

Pimco Global Advantage Inflation-Linked Bond Strategy Fund

ILB

NYSE Arca

05/08/2012

Arrow Dow Jones Global Yield ETF

GYLD

NYSE Arca

05/09/2012

Market Vectors Emerging Markets High Yield Bond ETF

HYEM

NYSE Arca

5/23/2012

ProShares USD Covered Bond ETF

COBO

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

6/5/2012

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

6/19/2012

SPDR BofA Merrill Lynch Crossover Corporate Bond ETF

XOVR

NYSE Arca

6/19/2012

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

6/27/2012

ProShares Short Euro ETF

EUFX

NYSE Arca

6/29/2012

ALPS Sector Dividend Dogs ETF

SDOG

NYSE Arca

7/11/2012

AdvisorShares Global Alpha ' Beta ETF

RRGR

NYSE Arca

7/12/2012

ProShares UltraPro Financials ETF

FINU

NYSE Arca

7/12/2012

ProShares UltraPro Short Financials ETF

FINZ

NYSE Arca

7/17/2012

Global X SuperIncome Preferred ETF

SPFF

NYSE Arca

7/17/2012

Market Vectors Preferred Securities Ex Financials ETF

PFXF

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

8/8/2012

QAM Equity Hedge ETF

QEH

NYSE Arca

8/14/2012

First Trust Multi-Asset Diversified Income Index Fund

MDIV

Nasdaq

8/14/2012

First Trust Nasdaq Technology Dividend Index Fund

TDIV

Nasdaq

8/15/2012

EGShares Beyond BRICs ETF

BBRC

NYSE Arca

8/15/2012

EGShares Emerging Markets Domestic Demand ETF

EMDD

NYSE Arca



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