2014 Regulatory Information Circulars

Archive
2014 Circulars

Circular
Number
Circular
Date

Exchange-Traded Funds

Symbol
14-110
10/31/2014
ALPS STOXX Europe 600 ETF 
STXX 
14-109

10/31/2014
 
ARK Genomic Revolution Multi-Sector ETF
ARK Innovation ETF 
ARKG
ARKK 
14-108

10/23/2014

Global X | JPMorgan Efficiente Index ETF
Global X | JPMorgan US Sector Rotator Index ETF
EFFE
SCTO
14-107
10/23/2014
Recon Capital DAX Germany ETF 
DAX 
14-106
10/22/2014
First Trust Eurozone AlphaDEX® ETF
FEUZ 
14-105 10/21/2014
ValueShares U.S. Quantitative Value ETF  QVAL
14-104
10/16/2014
Vident Core US Bond Strategy ETF 
VBND 
14-103
10/16/2014
iShares Commodities Select Strategy ETF 
COMT 
14-102
10/15/2014
iShares MSCI Emerging Markets Horizon ETF 
EMHZ
14-101

 
10/09/2014

 
Fidelity Total Bond ETF
Fidelity Corporate Bond ETF
Fidelity Limited Term Bond ETF
FBND
FCOR
FLTB
14-100
10/09/2014
ProShares Morningstar Alternatives Solution ETF 
ALTS 
14-099
10/07/2014
Renaissance International IPO ETF 
IPOS 
14-098
10/02/2014
ProShares Managed Futures Strategy 
FUTS 
14-097
10/02/2014
InfraCap MLP ETF 
AMZA 
14-096
10/02/2014
Falah Russell-IdealRatings U.S. Large Cap ETF 
FIA 
14-095

10/01/2014

ETRACS Monthly Pay 2xLeveraged US High Dividend Low Volatility ETN
due September 30, 2044 
HDLV
 
14-094
10/01/2014
Compass EMP Developed 500 Enhanced Volatility Weighted Index ETF 
CIZ 
14-093
10/01/2014  Arrow DWA Tactical ETF 
DWAT 
14-092

9/30/2014

ARK Industrial Innovation ETF
ARK Web x.0 ETF
ARKQ
ARKW 
14-091
9/26/2014
Guggenheim Emerging Markets Real Estate ETF 
EMRE 
14-090
9/25/2014
IShares Currency Hedged MSCI Emerging Markets ETF 
HEEM 
14-089
9/23/2014
Source EURO STOXX 50 ETF
ESTX 
14-088
9/23/2014
Deep Value ETF 
DVP 
14-087

 
9/18/2014


SPDR MSCI Mexico Quality Mix ETF
SPDR MSCI South Korea Quality Mix ETF
SPDR MSCI Taiwan Quality Mix ETF
QMEX
QKOR
QTWN
14-086



9/17/2014



Guggenheim BulletShares 2023 Corporate Bond ETF
Guggenheim BulletShares 2024 Corporate Bond ETF
Guggenheim BulletShares 2021 High Yield Corporate Bond ETF
Guggenheim BulletShares 2022 High Yield Corporate Bond ETF
BSCN
BSCO
BSJL
BSJM 
14-085

9/16/2014

C-Tracks Exchange-Traded Notes Miller/Howard Strategic Dividend Reinvestor
due September 16, 2024
DIVC
 
14-084
9/16/2014
Stock Split Index Fund  TOFR 
14-083 09/11/2014 Barclays Return on Disability ETN RODI
14-082 09/10/2014 SPDR SSgA Risk Aware ETF RORO
14-081 09/10/2014 PowerShares LadderRite 0-5 Year Corporate Bond Portfolio LDRI
14-080 09/10/2014 First Trust Long/Short Equity ETF
FTLS
14-079
09/04/2014
FlexShares Disciplined Duration MBS Index Fund MBSD
14-078








 
08/27/2014









WBI SMID Tactical Growth Shares
WBI SMID Tactical Value Shares
WBI SMID Tactical Yield Shares
WBI SMID Tactical Select Shares
WBI Large Cap Tactical Growth Shares
WBI Large Cap Tactical Value Shares
WBI Large Cap Tactical Yield Shares
WBI Tactical High Income Shares
WBI Tactical Income Shares
WBI Large Cap Tactical Select Shares
WBIA
WBIB
WBIC
WBID
WBIE
WBIF
WBIG
WBIH
WBII
WBIL
14-077 08/21/2014 ProShares MSCI EAFE Dividend Growers ETF EFAD
14-076
08/14/2014
iShares iBonds Sep 2020 AMT-Free Muni Bond ETF  IBMI 
14-075
08/14/2014
First Trust Strategic Income ETF  FDIV 
14-074
08/06/2014
ProShares CDS North American HY Credit ETF
ProShares CDS Short North American HY Credit ETF
TYTE
WYDE
14-073
08/06/2014
First Trust Enhanced Short Maturity ETF 
FTSM 
14-072
08/01/2014
Direxion iBillionaire Index ETF  IBLN
14-071
08/01/2014
Compass EMP U.S. Discovery 500 Enhanced Volatility Weighted Fund  CSF 
14-070
07/30/2014
AdvisorShares Athena High Dividend ETF  DIVI 
14-069


07/29/2014


Direxion Daily Mid Cap Bull 2X Shares
Direxion Daily Small Cap Bull 2X Shares
Direxion Daily 7-10 Year Treasury Bull 2X Shares
MDLL
SMLL
SYTL
14-068

07/29/2014

Royal Bank of Canada Exchange Traded Notes due July 19, 2034
Linked to the Yorkville MLP Distribution Growth Leaders Liquid PR Index 
YGRO
 
14-067
07/24/2014
Market Vectors ChinaAMC SME-ChiNext ETF  CNXT
14-066
07/23/2014
First Trust Dorsey Wright International Focus 5 ETF  IFV 
14-065
07/15/2014
Barclays Inverse US Treasury Composite ETN  TAPR 
14-064
07/15/2014
Sprott Gold Miners ETF SGDM
14-063
07/14/2014
Calamos Focus Growth ETF  CFGE 
14-062

07/10/2014

iShares Currency Hedged MSCI EMU ETF
iShares Global REIT ETF
HEZU
REET
14-061
07/10/2014
Barclays Women In Leadership ETN  WIL
14-060
07/09/2014
AdvisorShares Sunrise Global Multi-Strategy ETF  MULT
14-059


07/02/2014


Compass EMP US EQ Income 100 Enhanced Volatility Weighted Fund
Compass EMP U.S. 500 Volatility Weighted Index ETF
Compass EMP U.S. 500 Enhanced Volatility Weighted Index ETF
CDC
CFA
CFO 
14-058
06/25/2014
ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy ETN  LMLP 
14-057
06/17/2014
JPMorgan Diversified Return Global Equity ETF
JPGE 
14-056





06/12/2014





SPDR MSCI Australia Quality Mix ETF
SPDR MSCI Canada Quality Mix ETF
SPDR MSCI Germany Quality Mix ETF
SPDR MSCI Spain Quality Mix ETF
SPDR MSCI United Kingdom Quality Mix ETF
SPDR MSCI Japan Quality Mix ETF 
QAUS
QCAN
QDEU
QESP
QGBR
QJPN
14-055



06/12/2014


 
iShares Core Dividend Growth ETF
iShares Core MSCI Europe ETF
iShares Core MSCI Pacific ETF
iShares Core Total USD Bond Market ETF
DGRO
IEUR
IPAC
IUSB
14-054
06/11/2014 ETRACS Wells Fargo MLP Ex-Energy ETN due June 10, 2044  FMLP 
14-053
06/11/2014  UBS AG FI Enhanced Large Cap Growth ETN due June 19, 2024  FBGX 
14-052
06/11/2014
Credit Suisse FI Large Cap Growth Enhanced Exchange Traded Notes  FLGE
14-051


 
06/05/2014


 
SPDR MSCI EAFE Quality Mix ETF
SPDR MSCI Emerging Markets Quality Mix ETF
SPDR MSCI World Quality Mix ETF
SPDR EURO STOXX Small Cap ETF 
QEFA
QEMM
QWLD
SMEZ
14-050


06/05/2014

 
iShares MSCI Asia ex Japan Minimum Volatility ETF
iShares MSCI Europe Minimum Volatility ETF
iShares MSCI Japan Minimum Volatility ETF
AXJV
EUMV
JPMV
14-049

05/29/2014

iSharesBond Dec 2016 Corporate Term ETF
iSharesBond Dec 2018 Corporate Term ETF
IBDF
IBDH 
14-048

05/29/2014

iShares Interest Rate Hedged High Yield Bond ETF
iShares Interest Rate Hedged Corporate Bond ETF 
HYGH
LQDH
14-047
05/29/2014
PowerShares Multi-Strategy Alternative Portfolio  LALT 
14-046
05/28/2014
Direxion Daily S&P 500 Bull 2X Shares  SPUU
14-045
05/21/2014
db X-trackers Harvest CSI 500 China A-Shares Small Cap Fund  ASHS 
14-044
5/16/2014
Merk Gold Trust  OUNZ 
14-043
05/15/2014
First Trust Managed Municipal ETF  FMB 
14-042

05/07/2014

WisdomTree Europe Dividend Growth Fund
WisdomTree International Hedged Dividend Growth Fund
EUDG
IHDG
14-041
05/01/2014
PowerShares Variable Rate Preferred Portfolio  VRP
14-040
05/01/2014
db X-trackers Solactive Investment Grade Subordinated Debt Fund 
SUBD
14-039

05/01/2014

iShares MSCI Qatar Capped ETF
iShares MSCI UAE Capped ETF 
QAT
UAE
14-038
04/30/2014
db X-trackers Harvest MSCI All China Equity Fund  CN 
14-037
04/24/2014
Barclays OFI SteelPath MLP ETN OSMS 
14-036
04/24/2014
iShares Yield Optimized Bond ETF
BYLD
14-035
04/23/2014
EGShares Blue Chip ETF  BCHP 
14-034

04/10/2014
 
Direxion Daily Gold Bull 3X Shares
Direxion Daily Gold Bear 3X Shares 
GLDL
GLDS 
14-033




04/08/2014




WisdomTree Japan Hedged Capital Goods Fund
WisdomTree Japan Hedged Financials Fund
WisdomTree Japan Hedged Health Care Fund
WisdomTree Japan Hedged Real Estate Fund
WisdomTree Japan Hedged Tech, Media & Telecom Fund
DXJC
DXJF
DXJH
DXJR
DXJT
14-032  03/28/2014  ALPS Emerging Sector Dividend Dogs ETF EDOG 
14-031  03/27/2014  ProShares DJ Brookfield Global Infrastructure ETF  TOLZ 
14-030 03/26/2014  ETRACS Monthly Reset 2X Leveraged S&P 500 Total Return ETNs  SPLX 
14-029  03/13/2014  SPDR Barclays International High Yield Bond ETF IJNK 
14-028 03/12/2014  Cambria Global Value ETF  GVAL 
14-027
03/11/2014
Global X Guru International Index ETF 
Global X Guru Small Cap Index ETF
GURI 
GURX
14-026
03/11/2014
First Trust RBA American Industrial Renaissance ETF 
First Trust RBA Quality Income ETF
AIRR
QINC 
14-025 03/06/2014 First Trust Dorsey Wright Focus 5 ETF FV
14-024 03/05/2014 KraneShares Bosera MSCI China A Share ETF KBA
14-023 03/05/2014 AdvisorShares YieldPro ETF YPRO
14-022 03/04/2014 Horizons Korea KOSPI 200 ETF HKOR
14-021 02/27/2014 PowerShares International BuyBack Achievers Portfolio IPKW
14-020
02/26/2014
iShares Enhanced International Large-Cap ETF
iShares Enhanced International Small-Cap ETF
IEIL
IEIS
14-019
02/26/2014 SPDR Barclays 0-5 Year TIPS ETF SIPE
14-018 02/25/2014 Workplace Equality Portfolio EQLT
2014-017



02/12/2014



AdvisorShares International Gold ETF
AdvisorShares Gartman Gold/Yen ETF
AdvisorShares Gartman Gold/Euro ETF
AdvisorShares Gartman Gold/British Pound
GLDE
GYEN
GEUR
GGBP
2014-016 02/06/2014 iShares 2019 AMT-Free Muni Term ETF MUAH
2014-015 02/04/2014 WisdomTree Bloomberg Floating Rate Treasury Fund USFR
2014-014


02/04/2014


iShares Currency Hedged MSCI Japan ETF
iShares Currency Hedged MSCI Germany ETF
iShares Currency Hedged MSCI EAFE ETF
HEWJ
HEWG
HEFA
2014-013 02/04/2014 iShares Treasury Floating Rate Bond ETF TFLO
2014-012



01/23/2014



Market Vectors MSCI Emerging Markets Quality ETF
Market Vectors MSCI Emerging Markets Quality Dividend ETF
Market Vectors MSCI International Quality ETF
Market Vectors MSCI International Quality Dividend ETF
QEM
QDEM
QXUS
QDXU
2014-011


01/23/2014


DB X-Trackers MSCI All World Ex US Hedged Equity Fund
DB X-Trackers MSCI South Korea Hedged Equity Fund
DB X-Trackers MSCI Mexico Hedged Equity Fund
DBAW
DBKO
DBMX
2014-010

01/23/2014

PIMCO Diversified Income Exchange-Traded Fund
PIMCO Low Duration Exchange-Traded Fund
DI
LDUR
2014-009 01/23/2014 Direxion Zacks MLP High Income Shares ZMLP
2014-008

01/22/2014

Direxion Daily FTSE Europe Bull 3X Shares
Direxion Daily FTSE Europe Bear 3X Shares
EURL
EURZ
2014-007 01/22/2014 Vident Core U.S. Equity ETF VUSE
2014-006 01/15/2014 AdvisorShares Sage Core Reserves ETF
HOLD
2014-005
01/15/2014
PowerShares NYSE Century Portfolio NYCC
2014-004 01/14/2014 Market Vectors Short High-Yield Municipal Index ETF SHYD
2014-003


01/09/2014


SPDR MFS Systematic Core Equity ETF
SPDR MFS Systematic Growth Equity ETF
SPDR MFS Systematic Value Equity ETF
SYE
SYG
SYV
2014-002


01/08/2014


EGSHARES TCW EM Short Term Investment Grade Bond ETF
EGSHARES TCW EM Intermediate Term Investment Grade Bond ETF
EGSHARES TCW EM Long Term Investment Grade Bond ETF
SEMF
IEMF
LEMF
2014-001


01/07/2014


First Trust NASDAQ Rising Dividend Achievers ETF
First Trust High Income ETF
First Trust Low Beta Income ETF
RDVY
FTHI
FTLB










2013 Wall Street Letter
Institutional Trading Awards:

Best Exchange Client Service
2013 Markets Choice Awards:
Most Innovative Exchange
2013 Institutional Investor
“Trading Technology 40”:

Saro Jahani, Chief Information
Officer, #29