Exchange-Traded Funds
Table of Contents
I. Introduction
II. Operation of Exchange-Traded Funds
III. Exemptions Permitting Funds to Form and Operate as ETFS
A. Scope of Proposed Rule 6c-11
B. Conditions
2. Listing on a National Securities Exchange and Dissemination of Intraday Value
3. Marketing
4. Conflicts of Interest
5. Affiliated Index Providers
C. Exemptive Relief
D. Disclosure Amendments
IV. Exemption for Investment Companies investing in ETFS
B. Proposed Rule 12d1-4 Conditions
C. Scope of Proposed Rule 12d1-4
V. Exemption for Affiliated Fund of Funds Invesments
VI. Request for Comment
VII. Paperwork Reduction Act
SEC_CODE_REF_0090001192884
VIII. Cost-Benefit Analysis
A. Rule 6c-11
B. Amendments to Form N-1A
2. Costs
C. Rule 12d1-4
D. Amendments to Rule 12d1-2
IX. Consideration of Promotion of Efficiency, Competition and Capital Formation
X. Initial Regulatory Flexibility Analysis
A. Reasons for the Proposed Actions
B. Objectives of the Proposed Actions
D. Small Entities Subject to the Proposed Rule and Amendments
E. Reporting, Recordkeeping, and Other Compliance Requirements
G. Significant Alternatives
XI. Statutory Authority
