PSC Principal ETFs Principal US Small Cap ETF

Nasdaq (Nasdaq:NDAQ), the single largest U.S. equity exchange by market share, announced 24 new exchange-traded products (ETP) listings and one switch in the third quarter, bringing Nasdaq’s total ETP listings to 295. For the quarter, 35 percent of new ETP listings and switches across all U.S. exchanges listed on Nasdaq, and 12 of these new ETP listings in the quarter track a Nasdaq index.  

“Nasdaq’s expanding portfolio of ETP listings reinforces our commitment to helping issuers list new products and grow,” said Jeff McCarthy, Vice President and Head of ETP Listings at Nasdaq. “During the quarter, we had the opportunity to collaborate with a myriad of issuers on all aspects of an exchange-traded product’s lifecycle, including market maker support, index creation and calculation, regulatory guidance, marketing and investor outreach.”                                                                                                                     Third Quarter Nasdaq ETP Listing Highlights:Nasdaq was selected as the exchange of choice for 24 new ETP launches and one switch:             SEPTEMBER

• First Trust launched two actively managed funds that seek to provide income by investing primarily in closed-end funds; they began trading September 28:
  • First Trust CEF Income Opportunity ETF (Nasdaq:FCEF)
  • First Trust Municipal CEF Income Opportunity ETF (Nasdaq:MCEF)  
• Highland Capital Management announced it will change the primary listing venue for the following fund to Nasdaq; the switch officially took place September 28, 2016:
  • Highland/iBoxx Senior Loan ETF (Nasdaq:SNLN) 
• PowerShares by Invesco launched an actively managed fund with diversified exposure to multiple fixed income asset classes; the fund began trading September 22:
  • PowerShares Variable Rate Investment Grade Portfolio (Nasdaq:VRIG) 
• Principal launched a fund that tracks the Nasdaq U.S. Small Cap Select Leaders Index; it began trading September 22:
  • Principal U.S. Small Cap Index ETF (Nasdaq:PSC) 
• First Trust launched a suite of seven new smart sector funds tracking the Nasdaq U.S. Smart Sector Indexes; they began trading September 21:
  • First Trust Nasdaq Bank ETF (Nasdaq:FTXO)
  • First Trust Nasdaq Food & Beverage ETF (Nasdaq:FTXG)
  • First Trust Nasdaq Oil & Gas ETF (Nasdaq:FTXN)
  • First Trust Nasdaq Pharmaceuticals ETF (Nasdaq:FTXH)
  • First Trust Nasdaq Retail ETF (Nasdaq:FTXD)
  • First Trust Nasdaq Semiconductor ETF (Nasdaq:FTXL)
  • First Trust Nasdaq Transportation ETF (Nasdaq:FTXR) 
• Elkhorn launched the first commodity fund using Dorsey, Wright & Associates, a Nasdaq company’s Relative Strength methodology; trading began September 21:
  • Elkhorn Commodity Rotation ETF (Nasdaq:DWAC) 
• Global X  launched three thematic funds targeting emerging technological trends, including Robotics and Artificial Intelligence, FinTech and the Internet of Things; the funds began trading September 13:
  • Global X Robotics & Artificial Intelligence Thematic ETF (Nasdaq:BOTZ)
  • Global X FinTech Thematic ETF (Nasdaq:FINX)
  • Global X Internet of Things Thematic ETF (Nasdaq:SNSR)

AUGUST

• ETF Managers in partnership with PureFunds, launched two funds that track healthcare technology solution providers; and FinTech companies; the funds began trading August 31:
  • PureFunds ETFx HealthTech ETF (Nasdaq:IMED)
  • PureFunds Solactive FinTech ETF (Nasdaq:FINQ)
• Principal launched two thematic funds that track Nasdaq indexes and focus on millennial spending habits and healthcare innovation; they began trading August 22: 
  • Principal Millennials Index ETF (Nasdaq:GENY)
  • Principal Healthcare Innovators Index ETF (Nasdaq:BTEC)
• Virtus launched an actively-managed fund that aims to optimize investor return and minimize the downside risk, the fund began trading August 17:
  • iSectors® Post-MPT Growth ETF (Nasdaq:PMPT)

JULY

• PowerShares by Invesco launched a new multi-factor fund whose index is owned and was developed by Dorsey, Wright & Associates; the fund began trading July 14:
  • PowerShares DWA Momentum & Low Volatility Rotation Portfolio (Nasdaq:DWLV)
• FlexShares, sponsored and managed by Northern Trust, launched two sustainable investing funds; they began trading July 14:
  • FlexShares STOXX® US ESG Impact Index Fund (Nasdaq:ESG)
  • FlexShares STOXX® Global ESG Impact Index Fund (Nasdaq:ESGG)
• Global X launched a fund that takes a new approach to socially responsible investing (SRI), by positively identifying ‘conscious companies,’ which seek positive outcomes for all stakeholders, including their customers, employees, communities, suppliers, and shareholders; the fund began trading July 12:
  • Global X Conscious Companies ETF (Nasdaq:KRMA)

For issuers who want to learn more about opportunities to list and grow on The Nasdaq Stock Market®, please visit our website or email etflistings@nasdaq.com. 

About Nasdaq: Nasdaq (Nasdaq:NDAQ) is a leading provider of trading, clearing, exchange technology, listing, information and public company services across six continents. Through its diverse portfolio of solutions, Nasdaq enables customers to plan, optimize and execute their business vision with confidence, using proven technologies that provide transparency and insight for navigating today's global capital markets. As the creator of the world's first electronic stock market, its technology powers more than 70 marketplaces in 50 countries, and 1 in 10 of the world's securities transactions. Nasdaq is home to more than 3,700 listed companies with a market value of $10.0 trillion and approximately 18,000 corporate clients. To learn more, visit: nasdaq.com/ambition or business.nasdaq.com.

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Nasdaq Media Contact:  Peter Gau+1 (212) 231-5475 (office)+1 (646) 633-3246 (mobile)Peter.Gau@nasdaq.com

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