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SPDR Trust The First Successful U S ETF
HI BRIEF OVERVIEW OF
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12b-l class Act Rel adviser's affiliated after-tax return alleged allocation amended AmEx approval assets ATFA Board breach of fiduciary broker-dealer capital gain claims clients closed-end funds commenters Commission court Creation Units disciplinary disclose disclosure requirement distribution DP&W ETFs exempt expenses federal fiduciary duty File financial institutions Form ADV Form N-1A fund governance fund shares fund's IARD ICAA independent directors Insurance Company investment adviser investment advisory contract Investment Company Act Investment Management investors involving issue for underlying Legg Mason litigation money laundering mutual fund No-Action Letter notice open-end fund person plaintiffs portfolio manager Portfolio Securities private right proposed proxy recommended regulations regulatory relief retail funds right of action Rowe Price SEC Staff SEC's Section 36(b separate account shareholders SPDRs sponsor sub-adviser substitution Supp TIAA-CREF trading transactions underlying fund directors unit investment trust units/shares violations