2014 Regulatory Information Circulars

Archive
2014 Circulars

Circular
Number
Circular
Date

Exchange-Traded Funds

Symbol
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