Regulatory and Technical Documents
NextShares Regulatory Documents
Fund Sponsor Exemptive Relief Registration Statements Listing and Trading Rules (19b-4)
Nasdaq Rule 5745
(Governing the listing and trading
of NextShares on Nasdaq)

Filing (2/14/14)

Filing: Federal Register Notice (3/12/14)

Amendment (9/12/14)

Comments

Order Granting Approval (11/7/14)

FINRA Rule 6184
(Governing the reporting
of off-exchange NextShares trades)

Filing (10/15/15)

ALPS Advisors

Application (7/21/15)

Notice of Intent to Grant Exemptive Relief (8/13/15)

Order Granting Exemptive Relief (9/9/15)

American Beacon

Application (1/15/15)

Amendment 1 (2/23/15)

Notice of Intent to Grant Exemptive Relief (3/6/15)

Order Granting Exemptive Relief (4/1/15)

Broms Asset Management

Application (6/30/15)

Notice of Intent to Grant Exemptive Relief (7/16/15)

Order Granting Exemptive Relief (8/13/15)

Causeway Capital Management

Application (12/28/16)

Notice of Intent to Grant Exemptive Relief (1/25/17)

Order Granting Exemptive Relief (2/22/17)

Columbia Threadneedle Investments

Application (9/28/15)

Notice of Intent to Grant Exemptive Relief (10/13/15)

Order Granting Exemptive Relief (11/10/15)

Eaton Vance

Application (3/27/13)

Amendment 1 (9/12/13)

Amendment 2 (1/23/14)

Amendment 3 (9/15/14)

Amendment 4 (9/25/14)

Notice of Intent to Grant Exemptive Relief (11/6/14)

Order Granting Exemptive Relief (12/2/14)

18 Initial Funds

Filing (4/10/15)

Amendment 1 (4/21/15)

Amendment 2 (4/21/15)

Filing: Federal Register Notice (4/29/15)

Order Granting Approval (7/21/15)

Gabelli Funds, LLC

Application (3/30/15)

Notice of Intent to Grant Exemptive Relief (4/23/15)

Order Granting Exemptive Relief (5/19/15)

5 Initial Funds

Filing (9/28/16)

Filing: Federal Register Notice (10/17/16)

Amendment 1 (10/18/16)

Order Granting Approval (11/22/16)

Hartford Funds Management Company

Application (3/31/15)

Notice of Intent to Grant Exemptive Relief (4/23/15)

Order Granting Exemptive Relief (5/19/15)

Filing (11/30/16)

1 Initial Fund

Filing (3/1/17)

Filing: Federal Register Notice (3/20/17)

Amendment 1 (4/4/17)

Amendment 2 (4/12/17)

Amendment 3 (4/13/17)

Amendment 4 (5/3/17)

Order Granting Approval (5/4/17)

Ivy Investment Management Company

Application (7/21/15)

Notice of Intent to Grant Exemptive Relief (8/13/15)

Order Granting Exemptive Relief (9/9/15)

IVENC

3 Initial Funds

Filing (7/13/16)

Filing: Federal Register Notice (7/27/16)

Order Granting Approval (8/31/16)

Nationwide
Nile Capital Management

Application (6/29/15)

Notice of Intent to Grant Exemptive Relief (8/13/15)

Order Granting Exemptive Relief (9/9/15)

Pioneer Investments

Application (6/30/15)

Notice of Intent to Grant Exemptive Relief (7/16/15)

Order Granting Exemptive Relief (8/13/15)

Filing (2/3/17)

Principal

Application (6/26/15)

Notice of Intent to Grant Exemptive Relief (8/11/15)

Order Granting Exemptive Relief (9/9/15)

UBS Asset Management

Application (12/14/16)

Amendment 1 (3/1/17)

Notice of Intent to Grant Exemptive Relief (3/10/17)

Order Granting Exemptive Relief (4/5/17)

Victory Capital

Application (6/25/15)

Notice of Intent to Grant Exemptive Relief (8/11/15)

Order Granting Exemptive Relief (9/9/15)

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Approved
Filed & Under Consideration
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Portfolio-Protected Active ETF Regulatory Documents
Fund Sponsor Exemptive Relief Registration Statements Listing and Trading Rules (19b-4)
Tracking Portfolio Proposals
Blue Tractor

Application (3/14/16)

Amendment 1 (9/28/16)

Amendment 2 (2/1/17)

Filing (9/28/16)

Cohen & Steers

Application (10/20/14)

Fidelity

Application (9/26/14)

Application (8/11/16)

T. Rowe Price

Application (9/23/13)

Amendment 1 (3/14/14)

AP Agent Proposal
Precidian
Initial Application

Application (1/25/13)

Amendment 1 (2/12/13)

Amendment 2 (7/23/13)

Notice of Intent to Deny Exemptive Relief (10/21/14)

Request to Withdraw Application (11/13/14)

Order Permitting Withdrawal of Application (11/14/14)


Second Application

Application (12/22/14)

SEC Staff Response Letter (4/17/15)

Amendment 1 (8/11/15)

Amendment 2 (9/21/15)

Amendment 3 (5/2/17)

Filing (4/4/17)

Initial Application

Filing (2/7/14)

Filing: Federal Register Notice (2/26/14)

Comments

Notice of Designation of a Longer Period for Commission Action (4/7/14)

Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change (5/27/14)

Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change (8/22/14)

Order Disapproving a Proposed Rule Change (10/24/14)


Second Application

Filing (1/22/16)

Filing: Federal Register Notice (2/18/16)

Partial Amendment No. 1 (3/9/16)

Comments

Notice of Designation of a Longer Period for Commission Action (3/18/16)

Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change (5/17/16)

Notice of Withdrawal of a Proposed Rule Change (7/8/16)


Third Application

Filing (4/14/17)

Filing: Federal Register Notice (5/4/17)

BlackRock

Application (11/12/15)

Excludes proposed Portfolio-Protected Active ETF structures for which exemptive applications have been inactive for more than five years or were withdrawn.

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