“Exchange-Traded Fund” means a Fund or Class, the shares of which are listed and traded on a national securities exchange, and that has formed and operates under an exemptive order …

Provide three (3) proposed trading symbols for each fund to be listed in order of preference. All choices must comprise four alpha characters. If a NASDAQ symbol has been previously …

Several amendments to Form N-1A, the registration form used by open-end funds, are designed to provide an ETF’s investors with additional information regarding ETF trading and associated …

Registration statements and prospectuses become public shortly after the company files them with the SEC. All companies, domestic and foreign, are required to file registration statements …

Jun 12, 2024 · To register an ETF, the issuer must file a registration statement with the SEC. This includes: Form N-1A: This form is used by open-end management investment companies to …

In order to help you gather the information you will need to complete your form, you can view forms in "preview" mode using the links below. Fields marked with an asterisk (*) are required. …

Aug 5, 2024 · To list “ Exchange-Traded Fund Shares ” on Cboe BZX Exchange, Inc. a company must complete and submit all materials set forth below on the Listing Checklist to …

Mar 19, 2024 · SEC Form N-1A is the mandatory registration form for establishing open-end management companies, applicable to both open-end mutual funds and exchange-traded …

Jun 19, 2022 · SEC Form N-1A is the required registration form for establishing open-end management companies. The form can be used for registering both open-end mutual funds …

ETFs are a type of exchange-traded investment product that must register with the SEC under the 1940 Act as either an open-end investment company (generally known as “funds”) or a unit …