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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to New York Life Investments Active ETF Trust - NYLI MacKay California Muni Intermediate ETF
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| April 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 New York Life Investments Active ETF Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware (State of incorporation or organization) (see next page) (IRS Employer Identification No. |
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| April 9, 2025 |
51 Madison Avenue New York, New York 10010 April 9, 2025 Eileen Smiley U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: New York Life Investments Active ETF Trust (File No. 333-183489 and File No. 811-22739) (the “Registrant”) Dear Ms. Smiley, This letter responds to additional comments you provided telephonically on April 7, 2 |
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| April 3, 2025 |
51 Madison Avenue New York, New York 10010 April 3, 2025 Eileen Smiley U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: New York Life Investments Active ETF Trust (File No. 333-183489 and File No. 811-22739) (the “Registrant”) Dear Ms. Smiley, This letter responds to the comments you provided telephonically on January 22, 2025, |
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| February 11, 2025 |
51 Madison Avenue New York, New York 10010 February 11, 2025 Eileen Smiley U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: New York Life Investments Active ETF Trust (File No. 333-183489 and File No. 811-22739) (the “Registrant”) Dear Ms. Smiley, This letter responds to the additional comment you provided telephonically on Feb |
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| February 7, 2025 |
51 Madison Avenue New York, New York 10010 February 7, 2025 Eileen Smiley U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: New York Life Investments Active ETF Trust (File No. 333-183489 and File No. 811-22739) (the “Registrant”) Dear Ms. Smiley, This letter responds to the comments you provided telephonically on January 22, |
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| December 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A/A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 New York Life Investments Active ETF Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware (see next page) (State of incorporation or organization) (IRS Employer Identification No. |
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| November 22, 2024 |
51 Madison Avenue New York, New York 10010 November 22, 2024 Eileen Smiley U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: New York Life Investments Active ETF Trust (File No. 333-183489 and File No. 811-22739) (the “Registrant”) Dear Ms. Smiley, This letter responds to the comments you provided telephonically on November 7, 2 |
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| September 5, 2024 |
Barry Pershkow Partner 1801 K Street, NW Suite 700 Washington, DC 20006 Direct: 202. |
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| August 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A/A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 New York Life Investments Active ETF Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware (State of incorporation or organization) (see next page) (IRS Employer Identification No. |
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| August 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A/A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 New York Life Investments Active ETF Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware (State of incorporation or organization) (see next page) (IRS Employer Identification No. |
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| August 23, 2024 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 August 23, 2024 VIA EDGAR Aaron Brodsky U. |
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| August 8, 2024 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 August 8, 2024 VIA EDGAR Aaron Brodsky U. |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 IndexIQ Active ETF Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware (see next page) (State of incorporation or organization) (IRS Employer Identification No. |
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| April 30, 2024 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 April 30, 2024 VIA EDGAR Anu Dubey U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (File No. 333-183489 and File No. 811-22739) (the “Registrant”) Dear Ms. Dubey: This letter responds to your additional comments made telephonically on April 16, 2024 and April |
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| April 29, 2024 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on May 10, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| April 19, 2024 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 April 19, 2024 VIA EDGAR Anu Dubey U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (File No. 333-183489 and File No. 811-22739) (the “Registrant”) Dear Ms. Dubey: This letter responds to your additional comments made telephonically on April 16, 2024, regarding |
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| April 5, 2024 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 April 5, 2024 VIA EDGAR Anu Dubey U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (File No. 333-183489 and File No. 811-22739) (the “Registrant”) Dear Ms. Dubey: This letter responds to your comments made telephonically on January 23, 2024, regarding the Regis |
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| February 16, 2024 |
United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| January 19, 2024 |
United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) ☐ Defini |
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| January 5, 2024 |
SC 13G/A 1 esgbaclosing10524.htm NEW YORK LIFE INVESTMENT MANAGEMENT LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. CLOSING)* IQ MacKay ESG Core Plus Bond ETF (Name of Issuer) Common Stock (Title of Class of Securities) 45409F785 (CUSIP Number) December 29, 2023 (Date of Event which Requires Filing o |
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| January 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. CLOSING)* IndexIQ MacKay California Municipal Intermediate ETF (Name of Issuer) Common Stock (Title of Class of Securities) 45409F777 (CUSIP Number) December 29, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to design |
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| December 19, 2023 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on January 02, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| December 15, 2023 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 December 15, 2023 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| December 5, 2023 |
United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| November 22, 2023 |
United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| November 22, 2023 |
United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| November 8, 2023 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 November 8, 2023 VIA EDGAR Ken Ellington U. |
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| November 8, 2023 |
United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| November 7, 2023 |
Barry Pershkow Partner Chapman and Cutler LLP 1717 Rhode Island Avenue NW Washington, DC 20036-3026 Tel: 202. |
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| October 27, 2023 |
United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 IndexIQ Active ETF Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware (see next page) (State of incorporation or organization) (IRS Employer Identification No. |
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| March 29, 2023 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 March 29, 2023 VIA EDGAR Anu Dubey U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (File No. 333-183489 and File No. 811-22739) (the “Registrant”) Dear Ms. Dubey: This letter responds to your comments made telephonically on January 24, 2023, regarding the Regi |
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| March 28, 2023 |
Schedule of Investments — IQ MacKay ESG High Income ETF Schedule of Investments — IQ MacKay ESG High Income ETF January 31, 2023 (unaudited) Principal Amount Value Long - Term Bonds 97. |
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| March 28, 2023 |
Schedule of Investments ─ IQ MacKay Municipal Intermediate ETF Schedule of Investments ─ IQ MacKay Municipal Intermediate ETF January 31, 2023 (unaudited) Principal Amount Value Municipal Bonds — 97. |
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| March 28, 2023 |
Schedule of Investments ─ IQ Winslow Focused Large Cap Growth ETF Schedule of Investments ─ IQ Winslow Focused Large Cap Growth ETF January 31, 2023 (unaudited) Shares Value Common Stocks — 99. |
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| March 28, 2023 |
Schedule of Investments ─ IQ Ultra Short Duration ETF NPORT-EX 2 804378INDEXIQ022823.htm Schedule of Investments ─ IQ Ultra Short Duration ETF January 31, 2023 (unaudited) Principal Amount Value Long - Term Bonds 95.5% Commercial Asset-Backed Securities — 13.6% Asset Backed Securities — 13.6% Amur Equipment Finance Receivables XI LLC Series 2022-2A, A2, 5.300%, due 6/21/28 $ 214,000 $ 212,182 Avis Budget Rental Car Funding AESOP LLC Series 2017-2A, A |
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| March 28, 2023 |
Schedule of Investments — IQ MacKay Multi-Sector Income ETF Schedule of Investments — IQ MacKay Multi-Sector Income ETF January 31, 2023 (unaudited) Principal Amount Value Long - Term Bonds 97. |
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| March 28, 2023 |
Schedule of Investments — IQ MacKay California Municipal Intermediate ETF Schedule of Investments — IQ MacKay California Municipal Intermediate ETF January 31, 2023 (unaudited) Principal Amount Value Municipal Bonds — 96. |
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| March 28, 2023 |
Schedule of Investments — IQ Winslow Large Cap Growth ETF NPORT-EX 2 440519INDEXIQ022823.htm Schedule of Investments — IQ Winslow Large Cap Growth ETF January 31, 2023 (unaudited) Shares Value Common Stocks — 99.4% Communication Services — 4.3% Alphabet, Inc., Class A* 3,852 $ 380,732 Alphabet, Inc., Class C* 3,495 349,045 Total Communication Services 729,777 Consumer Discretionary — 12.6% Chipotle Mexican Grill, Inc.* 321 528,488 Dollar Tree, Inc.* 2,41 |
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| March 28, 2023 |
Schedule of Investments ─ IQ MacKay ESG Core Plus Bond ETF +for Schedule of Investments ─ IQ MacKay ESG Core Plus Bond ETF January 31, 2023 (unaudited) Principal Amount Value Long - Term Bonds 99. |
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| March 28, 2023 |
Schedule of Investments ─ IQ MacKay Municipal Insured ETF NPORT-EX 2 682447INDEXIQ022823.htm Schedule of Investments ─ IQ MacKay Municipal Insured ETF January 31, 2023 (unaudited) Principal Amount Value Municipal Bonds — 95.6% Alabama — 1.9% Black Belt Energy Gas District, Revenue Bonds Series C-2 2.010%, (Municipal Swap Index + 0.35%), due 10/1/52(a) $ 2,500,000 $ 2,395,077 Mobile County Board of School Commissioners, Special Tax Insured: BAM 5.000%, du |
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| October 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 IndexIQ Active ETF Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware (see next page) (State of incorporation or organization) (IRS Employer Identification No. |
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| September 28, 2022 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 September 28, 2022 VIA EDGAR Anu Dubey U. |
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| September 26, 2022 |
Schedule of Investments ─ IQ MacKay California Municipal Intermediate ETF NPORT-EX 2 217661INDEXIQ073122.htm Schedule of Investments ─ IQ MacKay California Municipal Intermediate ETF July 31, 2022 (unaudited) Principal Amount Value Municipal Bonds — 96.9% California — 84.2% Beverly Hills Unified School District CA, General Obligation Bonds Series B 4.000%, due 8/1/38 $ 1,000,000 $ 1,063,422 California Community Choice Financing Authority, Revenue Bonds 4.000%, due 10/1/ |
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| September 26, 2022 |
Schedule of Investments ─ IQ MacKay Multi-Sector Income ETF Schedule of Investments ─ IQ MacKay Multi-Sector Income ETF July 31, 2022 (unaudited) Principal Amount Value Long - Term Bonds 98. |
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| September 26, 2022 |
Schedules of Investments ─ IQ MacKay Municipal Intermediate ETF NPORT-EX 2 682403INDEXIQ073122.htm Schedules of Investments ─ IQ MacKay Municipal Intermediate ETF July 31, 2022 (unaudited) Principal Amount Value Municipal Bonds — 91.8% Alabama — 3.7% Alabama Community College System, Revenue Bonds Insured: BAM 4.000%, due 11/1/32 $ 410,000 $ 444,189 4.000%, due 11/1/33 660,000 710,893 Birmingham Airport Authority, Revenue Bonds Insured: BAM 5.000%, due 7/1/32 |
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| September 26, 2022 |
Schedule of Investments ─ IQ Winslow Large Cap Growth ETF Schedule of Investments ─ IQ Winslow Large Cap Growth ETF July 31, 2022 (unaudited) Shares Value Common Stocks — 99. |
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| September 26, 2022 |
Schedule of Investments ─ IQ Ultra Short Duration ETF NPORT-EX 2 804378INDEXIQ073122.htm Schedule of Investments ─ IQ Ultra Short Duration ETF July 31, 2022 (unaudited) Principal Amount Value Long - Term Bonds 88.3% Commercial Asset-Backed Securities — 14.5% Asset Backed Securities — 14.5% 522 Funding CLO 2019-4 Ltd., (Cayman Islands) Series 2019-4A BR, 4.310%, (3-Month LIBOR + 1.60%), due 4/20/30(a) $ 1,000,000 $ 961,801 Avis Budget Rental Car Fundi |
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| September 26, 2022 |
Schedules of Investments ─ IQ MacKay Municipal Insured ETF Schedules of Investments ─ IQ MacKay Municipal Insured ETF July 31, 2022 (unaudited) Principal Amount Value Municipal Bonds — 97. |
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| September 26, 2022 |
Schedule of Investments ─ IQ MacKay ESG Core Plus Bond ETF NPORT-EX 2 943872INDEXIQ073122.htm Schedule of Investments ─ IQ MacKay ESG Core Plus Bond ETF July 31, 2022 (unaudited) Principal Amount Value Long - Term Bonds 97.6% Collateralized Mortgage Obligations — 7.3% Mortgage Securities — 7.3% CHL Mortgage Pass-Through Trust 2005-9 Series 2005-9 1A1, 2.859%, (1-Month LIBOR + 0.60%) due 5/25/35(a) $ 51,180 $ 40,846 Connecticut Avenue Securities Trust 2019 |
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| September 26, 2022 |
Schedule of Investments ─ IQ Winslow Focused Large Cap Growth ETF Schedule of Investments ─ IQ Winslow Focused Large Cap Growth ETF July 31, 2022 (unaudited) Shares Value Common Stocks — 99. |
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| September 22, 2022 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 September 22, 2022 VIA EDGAR Anu Dubey U. |
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| July 8, 2022 |
July 8, 2022 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (Registration Nos.: 333-183489 and 811-22739) Dear Sir/Madam: On behalf of IndexIQ Active ETF Trust (the “Registrant”), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the “1933 Act”), Post-Effective Amendment No. 90 and under the |
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| June 30, 2022 |
8-A12B 1 tm2219321-18a12b.htm 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 IndexIQ Active ETF Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware (State of incorporation or organization) (see next page) (IRS Employer |
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| June 17, 2022 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 June 17, 2022 VIA EDGAR Anu Dubey U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (File No. 333-183489 and File No. 811-22739) (the ?Registrant?) Dear Ms. Dubey: This letter responds to your comments regarding the Registrant?s filing on April 6, 2022, of Post- |
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| June 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* IndexIQ MacKay California Municipal Intermediate ETF (Name of Issuer) Common Stock (Title of Class of Securities) 45409F777 (CUSIP Number) May 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| June 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* IQ MacKay ESG Core Plus Bond ETF (Name of Issuer) Common Stock (Title of Class of Securities) 45409F785 (CUSIP Number) May 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| May 19, 2022 |
8-A12B 1 tm2215696d18a12b.htm 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 IndexIQ Active ETF Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware (see next page) (State of incorporation or organization) (IRS Employer |
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| May 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* IndexIQ MacKay California Municipal Intermediate ETF (Name of Issuer) Common Stock (Title of Class of Securities) 45409F777 (CUSIP Number) April 30, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| May 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* IQ MacKay ESG Core Plus Bond ETF (Name of Issuer) Common Stock (Title of Class of Securities) 45409F785 (CUSIP Number) April 30, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
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| April 29, 2022 |
As filed with the Securities and Exchange Commission on April 29, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 26, 2022 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 April 26, 2022 VIA EDGAR Anu Dubey U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (File No. 333-183489 and File No. 811-22739) (the ?Registrant?) Dear Ms. Dubey: This letter responds to your comments regarding the Registrant?s filing on December 29, 2021, of |
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| April 20, 2022 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 April 20, 2022 VIA EDGAR Anu Dubey U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (File No. 333-183489 and File No. 811-22739) (the ?Registrant?) Dear Ms. Dubey: This letter responds to your comments regarding the Registrant?s filing on December 29, 2021, of |
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| April 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* IndexIQ MacKay California Municipal Intermediate ETF (Name of Issuer) Common Stock (Title of Class of Securities) 45409F777 (CUSIP Number) March 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| April 7, 2022 |
SC 13G/A 1 esgba140722.htm NEW YORK LIFE INVESTMENT MANAGEMENT LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* IQ MacKay ESG Core Plus Bond ETF (Name of Issuer) Common Stock (Title of Class of Securities) 45409F785 (CUSIP Number) March 31, 2022 (Date of Event which Requires Filing of this Statemen |
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| April 6, 2022 |
April 6, 2022 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (Registration Nos.: 333-183489 and 811-22739) Dear Sir/Madam: On behalf of IndexIQ Active ETF Trust (the “Registrant”), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the “1933 Act”), Post-Effective Amendment No. 84 and under the |
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| March 29, 2022 |
Schedule of Investments ─ IQ MacKay Municipal Intermediate ETF Schedule of Investments ─ IQ MacKay Municipal Intermediate ETF January 31, 2022 (unaudited) Principal Amount Value Municipal Bonds — 99. |
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| March 29, 2022 |
Schedule of Investments ─ IQ MacKay California Municipal Intermediate ETF Schedule of Investments ─ IQ MacKay California Municipal Intermediate ETF January 31, 2022 (unaudited) Principal Amount Value Municipal Bonds — 90. |
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| March 29, 2022 |
Schedule of Investments ─ IQ MacKay Municipal Insured ETF Schedule of Investments ─ IQ MacKay Municipal Insured ETF January 31, 2022 (unaudited) Principal Amount Value Municipal Bonds — 96. |
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| March 29, 2022 |
Schedule of Investments ─ IQ Ultra Short Duration ETF Schedule of Investments ─ IQ Ultra Short Duration ETF January 31, 2022 (unaudited) Principal Amount Value Long - Term Bonds 96. |
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| March 29, 2022 |
Schedule of Investments ─ IQ MacKay ESG Core Plus Bond ETF Schedule of Investments ─ IQ MacKay ESG Core Plus Bond ETF January 31, 2022 (unaudited) Principal Amount Value Long - Term Bonds 96. |
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| March 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 IQ MacKay ESG Core Plus Bond ETF (Name of Issuer) Common Stock (Title of Class of Securities) 45409F785 (CUSIP Number) February 28, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| March 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* IndexIQ MacKay California Municipal Intermediate ETF (Name of Issuer) Common Stock (Title of Class of Securities) 45409F777 (CUSIP Number) February 28, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate th |
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| February 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* IndexIQ MacKay California Municipal Intermediate ETF (Name of Issuer) Common Stock (Title of Class of Securities) 45409F777 (CUSIP Number) January 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the |
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| February 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 IndexIQ MacKay California Municipal Intermediate ETF (Name of Issuer) Common Stock (Title of Class of Securities) 45409F777 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| December 29, 2021 |
December 29, 2021 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (Registration Nos.: 333-183489 and 811-22739) Dear Sir/Madam: On behalf of IndexIQ Active ETF Trust (the “Registrant”), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the “1933 Act”), Post-Effective Amendment No. 82 and under |
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| December 14, 2021 |
8-A12B 1 tm2135339-18a12b.htm 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 IndexIQ Active ETF Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware (State of incorporation or organization) (see next page) (IRS Employer |
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| September 24, 2021 |
Schedule of Investments ─ IQ MacKay Municipal Insured ETF Schedule of Investments ─ IQ MacKay Municipal Insured ETF July 31, 2021 (unaudited) Principal Amount Value Municipal Bonds — 102. |
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| September 24, 2021 |
Schedule of Investments ─ IQ MacKay Municipal Intermediate ETF Schedule of Investments ─ IQ MacKay Municipal Intermediate ETF July 31, 2021 (unaudited) Principal Amount Value Municipal Bonds — 99. |
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| September 24, 2021 |
Schedule of Investments ─ IQ Ultra Short Duration ETF Schedule of Investments ─ IQ Ultra Short Duration ETF July 31, 2021 (unaudited) Principal Amount Value Long - Term Bonds 89. |
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| September 24, 2021 |
Schedule of Investments ─ IQ MacKay ESG Core Plus Bond ETF Schedule of Investments ─ IQ MacKay ESG Core Plus Bond ETF July 31, 2021 (unaudited) Principal Amount Value Long - Term Bonds 96. |
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| August 27, 2021 |
51 Madison Avenue New York, New York 10010 CORRESP 1 filename1.htm 51 Madison Avenue New York, New York 10010 August 27, 2021 VIA EDGAR John Ganley Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (File No. 333-183489 and File No. 811-22739) (the “Registrant”) Dear Mr. Ganley: This letter responds to your comments, provided via telephonic discussion, |
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| June 24, 2021 |
June 24, 2021 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (Registration Nos.: 333-183489 and 811-22739) Dear Sir/Madam: On behalf of IndexIQ Active ETF Trust (the “Registrant”), we are transmitting for electronic filing under the Securities Act of 1933, as amended (the “1933 Act”), Post-Effective Amendment No. 72 and under the |
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| June 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 IndexIQ Active ETF Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware (State of incorporation or organization) (see next page) (IRS Employer Identification No. |
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| May 25, 2021 |
51 Madison Avenue New York, New York 10010 51 Madison Avenue New York, New York 10010 May 25, 2021 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| May 25, 2021 |
51 Madison Avenue New York, New York 10010 AW 1 tm2117406d1aw.htm AW 51 Madison Avenue New York, New York 10010 May 25, 2021 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (the “Registrant”) Registration Nos.: 333-183489 and 811-22739 Dear Sir/Madam: Pursuant to Rule 477 under the Securities Act of 1933, as amended, the Registrant hereby |
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| March 30, 2021 |
Schedules of Investments ─ IQ MacKay Municipal Intermediate ETF Schedules of Investments ─ IQ MacKay Municipal Intermediate ETF January 31, 2021 (unaudited) Principal Amount Value Municipal Bonds — 94. |
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| March 30, 2021 |
Schedules of Investments ─ IQ Ultra Short Duration ETF Schedules of Investments ─ IQ Ultra Short Duration ETF January 31, 2021 (unaudited) Principal Amount Value Long - Term Bonds 97. |
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| March 30, 2021 |
Schedules of Investments ─ IQ MacKay Municipal Insured ETF Schedules of Investments ─ IQ MacKay Municipal Insured ETF January 31, 2021 (unaudited) Principal Amount Value Municipal Bonds — 97. |
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| March 18, 2021 |
Schedules of Investments ─ IQ MacKay Municipal Insured ETF January 31, 2020 (unaudited) Principal Amount Value Municipal Bonds — 97. |
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| March 18, 2021 |
Schedules of Investments ─ IQ Ultra Short Duration ETF July 31, 2020 (unaudited) Principal Amount Value Long - Term Bonds 89. |
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| March 18, 2021 |
Schedules of Investments ─ IQ Ultra Short Duration ETF January 31, 2020 (unaudited) Principal Amount Value Long - Term Bonds 99. |
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| January 15, 2021 |
51 Madison Avenue New York, New York 10010 January 15, 2021 VIA EDGAR Kenneth Ellington Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| September 28, 2020 |
Schedules of Investments ─ IQ MacKay Municipal Insured ETF Schedules of Investments ─ IQ MacKay Municipal Insured ETF July 31, 2020 (unaudited) Principal Amount Value Municipal Bonds — 94. |
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| September 28, 2020 |
Schedules of Investments ─ IQ MacKay Municipal Intermediate ETF Schedules of Investments ─ IQ MacKay Municipal Intermediate ETF July 31, 2020 (unaudited) Principal Amount Value Municipal Bonds — 95. |
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| September 28, 2020 |
Schedules of Investments ─ IQ Ultra Short Duration ETF Schedules of Investments ─ IQ Ultra Short Duration ETF July 31, 2020 (unaudited) Principal Amount Value Long - Term Bonds 89. |
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| March 27, 2020 |
Schedules of Investments ─ IQ MacKay Municipal Intermediate ETF Schedules of Investments ─ IQ MacKay Municipal Intermediate ETF January 31, 2020 (unaudited) Principal Amount Value Municipal Bonds — 100. |
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| March 27, 2020 |
Schedules of Investments ─ IQ Ultra Short Duration ETF Schedules of Investments ─ IQ Ultra Short Duration ETF January 31, 2020 (unaudited) Principal Amount Value Long - Term Bonds 99. |
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| March 27, 2020 |
Schedules of Investments ─ IQ MacKay Municipal Insured ETF Schedules of Investments ─ IQ MacKay Municipal Insured ETF January 31, 2020 (unaudited) Principal Amount Value Municipal Bonds — 97. |
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| September 26, 2019 |
Indexiq Active Etf Trust NPORT-EX - - NPORT-EX 1 IndexIQActiveTrust.htm Schedules of Investments ─ IQ MacKay Municipal Insured ETF July 31, 2019 (unaudited) Principal Amount Value Municipal Bonds — 94.8% Arizona — 1.4% Arizona Industrial Development Authority, Revenue Bonds Series A Insured: BAM 4.000%, due 6/1/34 $ 250,000 $ 274,505 5.000%, due 6/1/33 350,000 424,963 699,468 Arkansas — 1.3% University of Central Arkansas, Revenue Bon |
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| July 22, 2019 |
Indexiq Active Etf Trust 8-A12B - - 8-A12B 8-A12B 1 tv5254898a12b.htm 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 IndexIQ Active ETF Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware (State of incorporation or organization) (see next page) (IRS Employer Ide |
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| March 27, 2019 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Kirk C. Lehneis, certify that: 1. I have reviewed this report on Form N-Q of IndexIQ Active ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light o |
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| March 27, 2019 |
Indexiq Active Etf Trust FORM N-Q (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22739 IndexIQ Active ETF Trust (Exact name of registrant as specified in charter) 51 Madison Avenue, 4th Floor New York, NY 10010 (Address of principal executive offices) (Zip code) Kirk C. Lehne |
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| February 7, 2019 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 1, 2019 INDEXIQ ACTIVE ETF TRUST (Exact name of registrant as specified in its charter) Delaware 811-22739 82-2279845* 82-2255643** (State or other jurisdiction of incorporat |
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| September 24, 2018 |
Indexiq Active Etf Trust FORM N-Q (Quarterly Schedule of Portfolio Holdings) N-Q 1 e2226nq.htm FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22739 IndexIQ Active ETF Trust (Exact name of registrant as specified in charter) 51 Madison Avenue, 4th Floor New York, NY 10010 (Address of principal executive office |
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| September 24, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 e2226ex99cert.htm CERTIFICATION Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Kirk C. Lehneis, certify that: 1. I have reviewed this report on Form N-Q of IndexIQ Active ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact nece |
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| April 30, 2018 |
Indexiq Active Etf Trust CORRESP CORRESP 1 filename1.htm Gregory E. Xethalis Senior Counsel 1270 Avenue of the Americas 30th Floor New York, New York 10020-1708 T 212.655.6000 D 212.655.2521 [email protected] April 30, 2018 VIA EDGAR Kenneth Ellington Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: IndexIQ Active ETF Trust (File No. 333-183489 and File No. 811- |
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| March 27, 2018 |
Indexiq Active Etf Trust - FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22739 IndexIQ Active ETF Trust (Exact name of registrant as specified in charter) 800 Westchester Ave., Suite S-710 Rye Brook, NY 10573 (Address of principal executive offices) (Zip code) Kirk C. |
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| March 27, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Exhibit 99.CERT Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, Kirk C. Lehneis, certify that: 1. I have reviewed this report on Form N-Q of IndexIQ Active ETF Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light o |
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| September 29, 2017 |
8-A12B 1 e758068a12b.htm FORM 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 IndexIQ Active ETF Trust (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware (State of incorporation or organization) (see next page) (IRS Employer |
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| August 18, 2014 |
Consent of Independent Registered Public Accounting Firm Exhibit 99(j) Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the captions “Independent Registered Public Accounting Firm” in each of the Prospectus and Statement of Additional Information and to the inclusion of our report on IQ Bear U. |
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| August 18, 2014 |
BREM / IQ Bear Emerging Markets ETF N-1A/A - - FORM N-1A/A As filed with the Securities and Exchange Commission on August 18, 2014 Securities Act Registration No. |
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| April 25, 2014 |
N-1A/A 1 e58601n1aa.htm FORM N-1A/A As filed with the Securities and Exchange Commission on April 25, 2014 Securities Act Registration No. 333-193560 Investment Company Act Reg. No. 811-22739 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment 1 [X] Post-Effective Amendment [] and/or REGISTRATION ST |
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| January 24, 2014 |
N-1A 1 e57042n1a.htm REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on January 24, 2014 Securities Act Registration No. - Investment Company Act Reg. No. 811-22739 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment £ Post-Effective Amendment [] and/or REGISTRATION STATE |
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| January 8, 2014 |
Consent of Independent Registered Public Accounting Firm Exhibit 99(j) Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the captions “Independent Registered Public Accounting Firm” in the Prospectus and Statement of Additional Information and to the inclusion of our report on IQ Bear U. |
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| January 8, 2014 |
N-1A/A 1 e56872n1aa.htm FORM N-1A/A As filed with the Securities and Exchange Commission on January 8, 2014 Securities Act Registration No. 333-183489 Investment Company Act Reg. No. 811-22739 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 T Pre-Effective Amendment 5 T Post-Effective Amendment No. £ and/or REGISTRATION ST |
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| January 6, 2014 |
N-1A/A 1 e56810n1aa.htm FORM N-1A/A As filed with the Securities and Exchange Commission on January 6, 2014 Securities Act Registration No. 333-183489 Investment Company Act Reg. No. 811-22739 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 T Pre-Effective Amendment 4 T Post-Effective Amendment No. £ and/or REGISTRATION ST |
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| November 21, 2013 |
Exhibit (i) 575 Madison Avenue New York, NY 10022-2585 212.940.8800 tel 212.940.8776 fax www.kattenlaw.com Kathleen H. Moriarty [email protected] (212) 940-6304 direct (212) 894-5504 fax November 21, 2013 The Board of Directors of the IndexIQ Active ETF Trust 800 Westchester Avenue, Suite N-611 Rye Brook, New York 10573 IndexIQ Active ETF Trust (Registration Nos. 333-183489 and 811-2 |
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| November 21, 2013 |
As filed with the Securities and Exchange Commission on November 21, 2013 Securities Act Registration No. |
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| November 21, 2013 |
Exhibit (h)(1) FUND ADMINISTRATION AND ACCOUNTING AGREEMENT AGREEMENT made as of November 18, 2013, by and between each entity listed on Exhibit A hereto (each a “Fund”, collectively the “Funds”), and The Bank of New York Mellon, a New York banking organization (“BNYM”). |
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| November 21, 2013 |
Consent of Independent Registered Public Accounting Firm EX-99.(J) 10 e56269ex99j.htm CONSENT OF PUBLIC ACCOUNTING FIRM Exhibit 99(j) Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the captions “Independent Registered Public Accounting Firm” in the Prospectus and Statement of Additional Information and to the inclusion of our report on IQ Bear U.S. Large Cap ETF dated November 18, 2013 in this Regi |
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| November 21, 2013 |
Exhibit (h)(2) TRANSFER AGENCY AND SERVICE AGREEMENT AGREEMENT made as of the 26th day of January, 2009, by and between each Trust listed on Appendix I hereto (collectively, the “Trust”) and each Series of the Trust listed on Appendix I hereto (as such Appendix be amended from time to time), and THE BANK OF NEW YORK MELLON, a New York banking company having its principal office and place of business at One Wall Street, New York, New York 10286 (the “Bank”). |
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| November 21, 2013 |
Investment Advisory Agreement between the Registrant and IndexIQ Advisors LLC. (2) Exhibit 28(d) INVESTMENT ADVISORY AGREEMENT This Agreement is made and entered into as of March 13, 2013, by and between IndexIQ Active ETF Trust, a Delaware trust (the “Trust”), on behalf of the funds listed on Appendix A, each a series of shares of the Trust (each, a “Fund” and, collectively, “Funds”), and IndexIQ Advisors LLC, a Delaware limited liability company (the “Advisor”). |
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| November 21, 2013 |
Exhibit 28(d)(2) EXPENSE LIMITATION AGREEMENT INDEXIQ ACTIVE ETF TRUST This Agreement is made and entered into effective as of March 13, 2013, by and between the funds listed on Schedule A (each, a “Fund” and, collectively, the “Funds”), each a series of shares of IndexIQ Active ETF Trust, a Delaware statutory trust (the “Trust”) and IndexIQ Advisors LLC, a Delaware limited liability company (the “Advisor”). |
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| November 21, 2013 |
Exhibit (p)(1) Code of Ethics CODE OF ETHICS Fiduciary Duty – Statement of Policy The Firm is a fiduciary of its Clients and owes each Client an affirmative duty of good faith and full and fair disclosure of all material facts. |
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| November 21, 2013 |
Exhibit (e)(1) DISTRIBUTION AGREEMENT THIS AGREEMENT is made as of November 27, 2012, between IndexIQ Active ETF Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc. |
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| November 21, 2013 |
Exhibit (p)(2) ALPS Code of Ethics ALPS Code of Ethics Dated: May 1, 2010 Amended Last: September 30, 2013 1 ALPS Code of Ethics Table of Contents Introduction 3 Applicability 4 General Standards of Business Conduct 8 Conflicts of Interest 8 Protecting Confidential Information 8 Insider Trading and Tipping 9 Excess Trading 9 Front Running 9 Gifts and Entertainment 9 Service on a Board of Directors |
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| November 21, 2013 |
Exhibit (h)(4) SECURITIES LENDING AUTHORIZATION AGREEMENT AGREEMENT, dated as of November 20, 2013 between the IndexIQ Active ETF Trust (the “Client”), with respect to each of the funds identified on Attachment 1 hereto, as amended, modified or supplemented from time to time (each a “Lender” and collectively the “Lenders”) , and The Bank of New York Mellon (“Bank”). |
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| November 21, 2013 |
Exhibit (g) CUSTODY AGREEMENT AGREEMENT, dated as of November 18, 2013 between IndexIQ Active ETF Trust, a Delaware statutory trust, having its principal office and place of business at 800 Westchester Avenue, Suite N611, Rye Brook, NY 10573 (the “Trust”) and The Bank of New York Mellon, a New York corporation authorized to do a banking business having its principal office and place of business at One Wall Street, New York, New York 10286 (“Custodian”). |
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| September 12, 2013 |
575 Madison Avenue New York, NY 10022-2585 212.940.8800 tel 212.940.8776 fax www.kattenlaw.com Gregory E. Xethalis [email protected] (212) 940-8587 direct (212) 894-5578 fax September 12, 2013 VIA EDGAR United States Securities and Exchange Commission Washington, D.C. 20549 Pre-Effective Amendment No. 2 to Form N-1A IndexIQ Active ETF Trust File Nos. 333-183489 and 811-22739 Dear Ladi |
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| September 12, 2013 |
N-1A/A 1 e55403n1a.htm REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on September 12, 2013 Securities Act Registration No. 333-183489 Investment Company Act Reg. No. 811-22739 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933T Pre-Effective Amendment 2T Post-Effective Amendment No. £ and/or REGI |
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| May 10, 2013 |
POWER OF ATTORNEY WITH RESPECT TO INDEXIQ ACTIVE ETF TRUST Exhibit (q) POWER OF ATTORNEY WITH RESPECT TO INDEXIQ ACTIVE ETF TRUST Know all men by these presents that Adam S. |
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| May 10, 2013 |
575 Madison Avenue New York, NY 10022-2585 212.940.8800 tel 212.940.8776 fax.. Peter J. Shea [email protected] (212) 940-6447 direct (212) 894-5724 fax May 10, 2013 VIA EDGAR United States Securities and Exchange Commission Washington, D.C. 20549 Pre-Effective Amendment No. 1 to Form N-1A IndexIQ Active ETF Trust File Nos. 333-183489 and 811-22739 Dear Ladies and Gentlemen On behalf of our |
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| May 10, 2013 |
N-1A/A 1 e53636n1aa.htm AMENDMENT TO FORM N-1A Securities Act Registration No. 333-183489 Investment Company Act Reg. No. 811-22739 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 T Pre-Effective Amendment 1 T Post-Effective Amendment No. £ and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 T Amendment |
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| August 22, 2012 |
N-8A 1 e49599n8a.htm FORM N-8A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940 and |
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| August 22, 2012 |
Exhibit (b) INDEXIQ ACTIVE ETF TRUST BYLAWS These Bylaws of IndexIQ Active ETF Trust, a Delaware statutory trust (the “Trust”), are subject to the Declaration of Trust, dated February 20, 2008, as from time to time amended, supplemented or restated (the “Trust Agreement”). |
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| August 22, 2012 |
Certificate of Trust of the IndexIQ Active ETF Trust (“Registrant”). (1) Exhibit (a)(1) State of delaware certificate of trust of INDEXIQ ACTIVE ETF trust This Certificate of Trust is being executed as of January 29, 2008, for the purpose of organizing a business trust pursuant to the Delaware Business Trust Act, 12 Del. |
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| August 22, 2012 |
INDEXIQ ACTIVE ETF TRUST DECLARATION OF TRUST Exhibit (a)(2) INDEXIQ ACTIVE ETF TRUST DECLARATION OF TRUST This DECLARATION OF TRUST is made as of the 20th day of February, 2008, by the Trustees hereunder. |
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| August 22, 2012 |
FORM OF DISTRIBUTION AGREEMENT Exhibit (e) FORM OF DISTRIBUTION AGREEMENT THIS AGREEMENT is made as of , 2012, between IndexIQ Active ETF Trust, a Delaware trust (the “Fund”), and ALPS Distributors, Inc. |
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| August 22, 2012 |
Form of Calculation Agreement. (1) Exhibit (h)(4) FORM OF CALCULATION AGREEMENT This Calculation Agreement (“Agreement”) is entered into this day of , 2012 (the “Effective Date”), by and between IndexIQ Active ETF Trust (the “Trust”), a Delaware statutory trust having an office at 800 Westchester Drive, Suite N-611, Rye Brook, New York 10573 and (“[Exchange]”), a having an office at . |
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| August 22, 2012 |
Form of Distribution and Service Plan. (1) Exhibit (m) IndexIQ ACTIVE ETF TRUST FORM OF DISTRIBUTION AND SERVICE PLAN 1. The Trust. IndexIQ Active ETF Trust (the “Trust”) is an open-end management investment company registered as such under the Investment Company Act of 1940, as amended (the “1940 Act”), and organized as a series trust (each such series is referred to herein as a “Fund”). 2. The Plan. The Trust desires to adopt a plan of d |
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| August 22, 2012 |
August 21, 2012 Via EDGAR ATTORNEYS AT LAW 777 East Wisconsin Avenue, Suite 3800 Milwaukee, Wisconsin 53202-5306 414. |
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| August 22, 2012 |
FORM OF TRANSFER AGENCY AND SERVICE AGREEMENT Exhibit (h)(2) FORM OF TRANSFER AGENCY AND SERVICE AGREEMENT THIS TRANSFER AGENCY AND SERVICE AGREEMENT (this “Agreement”), dated as of the day of , 2012, is made by and among each Trust listed on Appendix I hereto (collectively, the “Trust”), on behalf of each Series of the Trust listed on Appendix I hereto (as such Appendix be amended from time to time), and THE BANK OF NEW YORK MELLON, a New York banking company having its principal office and place of business at One Wall Street, New York, New York 10286 (the “Bank”). |
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| August 22, 2012 |
Form of Initial Capital Agreement. (1) EX-99.(L) 12 e49600ex99l.htm FORM OF INITIAL CAPITAL AGREEMENT Exhibit (l) FORM OF INITIAL CAPITAL AGREEMENT THIS INITIAL CAPITAL AGREEMENT is entered into as of , 2012 by and between IndexIQ Advisors LLC with its principal office at 800 Westchester Drive, Suite N-611, Rye Brook, New York 10017 (“Purchaser”) and IndexIQ Active ETF Trust, a Delaware statutory trust, with its principal office at 800 |
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| August 22, 2012 |
Exhibit (g) FORM OF CUSTODY AGREEMENT THIS CUSTODY AGREEMENT (this “Agreement”), dated as of is made by and between IndexIQ Active ETF Trust, a Delaware statutory trust, having its principal office and place of business at 800 Westchester Drive, Suite N611, Rye Brook, NY 10573 (the “Trust”) on behalf of its various Fund (as defined below) portfolios, individually and not jointly, and The Bank of New York, a New York corporation authorized to do a banking business having its principal office and place of business at One Wall Street, New York, New York 10286 (“Custodian”). |
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| August 22, 2012 |
Securities Act Registration No. 333- Investment Company Act Reg. No. 812- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 T Pre-Effective Amendment £ Post-Effective Amendment No. £ and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 T Amendment No. £ (Check appropriate box or boxes.) IndexIQ Active ETF T |
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| August 22, 2012 |
Exhibit (h)(3) FORM OF AUTHORIZED PARTICIPANT AGREEMENT IndexIQ Active ETF Trust This Authorized Participant Agreement (the “Agreement”) is entered into by and between ALPS Distributor, Inc. |
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| August 22, 2012 |
FORM OF FUND ADMINISTRATION AND ACCOUNTING AGREEMENT Exhibit (h)(1) FORM OF FUND ADMINISTRATION AND ACCOUNTING AGREEMENT THIS FUND ADMINISTRATION AND ACCOUNTING AGREEMENT (this “Agreement”), dated as of , is made by and among IndexIQ Active ETF Trust (the “Trust”) on behalf of its various portfolios, each identified on Exhibit A attached hereto as amended from time to time (each a “Fund” and, collectively, the “Funds”), individually and not jointly, and The Bank of New York, a New York banking organization (“BNY”). |
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| August 22, 2012 |
FORM OF INVESTMENT ADVISORY AGREEMENT Exhibit (d) FORM OF INVESTMENT ADVISORY AGREEMENT This Investment Advisory Agreement (this “Agreement”) is made and entered into effective as of , 2012, by and between IndexIQ Active ETF Trust, a Delaware trust (the “Trust”), and IndexIQ Advisors LLC, a Delaware limited liability company (the “Advisor”). |
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| February 24, 2011 |
Foley & Lardner LLP 321 N. Clark Street Chicago, Illinois 60654 February 24, 2011 APP WD 1 indexiq022411.htm INDEXIQ ACTIVE ETF TRUST FORM APP WD Foley & Lardner LLP 321 N. Clark Street Chicago, Illinois 60654 February 24, 2011 VIA EDGAR Mr. Deepak T. Pai Senior Counsel Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: IndexIQ Advisors LLC and IndexIQ Active ETF Trust, Application for Exemptive Order under Sectio |
