Monday, June 29, 2020

Equity Trader Alert #2020 - 36
Limit Up/Limit Down Exchange Traded Product Tier 1 List Update


  • Industry Announcement

Markets Impacted:

Contact Information:


Correction made to the link where the updated list is available.

ETPs eligible for Tier 1 of the Limit Up/Limit Down Plan (LULD Plan) will be updated effective Wednesday, July 1, 2020.

Nasdaq in conjunction with other listing exchanges has updated the list of ETPs eligible for Tier 1 of the LULD Plan. The updated list of Tier 1 ETPs can be found here and will be effective as of Wednesday, July 1, 2020.

The following Nasdaq listed symbols will move from Tier 2 to Tier 1:

MDIV First Trust Multi-Asset Diversified Income Index Fund
SUSB iShares ESG 1-5 Year USD Corporate Bond ETF
JKI iShares Morningstar Mid-Cap Value ETF
PID Invesco International Dividend Achievers ETF
LRGE ClearBridge Large Cap Growth ESG ETF
PTH Invesco DWA Healthcare Momentum ETF
IFGL iShares International Developed Real Estate ETF
VTWV Vanguard Russell 2000 Value ETF
DWSH AdvisorShares Dorsey Wright Short ETF
BBH VanEck Vectors Biotech ETF
WCLD WisdomTree Cloud Computing Fund
FEMB First Trust Emerging Markets Local Currency Bond ETF
FALN iShares Fallen Angels USD Bond ETF
FCVT First Trust SSI Strategic Convertible Securities ETF
GNMA iShares GNMA Bond ETF
IFV First Trust Dorsey Wright International Focus 5 ETF
CDL VictoryShares US Large Cap High Dividend Volatility Wtd ETF
RTH VanEck Vectors Retail ETF
ESPO VanEck Vectors Video Gaming & eSports ETF
BSJN Invesco BulletShares 2023 High Yield Corporate Bond ETF
HYZD WisdomTree Interest Rate Hedged High Yield Bond Fund
VIIX VelocityShares VIX Short-Term ETN
VTWG Vanguard Russell 2000 Growth ETF
NXTG First Trust Indxx NextG ETF
EEMA iShares MSCI Emerging Markets Asia ETF
CDC VictoryShares US EQ Income Enhanced Volatility Wtd ETF
FVC First Trust Dorsey Wright Dynamic Focus 5 ETF
FYX First Trust Small Cap Core AlphaDEX Fund
QCLN First Trust Nasdaq Clean Edge Green Energy Index Fund
CXSE WisdomTree China ex-State-Owned Enterprises Fund
VTHR Vanguard Russell 3000 ETF
BNDW Vanguard Total World Bond ETF
IBUY Amplify Online Retail ETF
EWZS iShares MSCI Brazil Small-Cap ETF
KBWD Invesco KBW High Dividend Yield Financial ETF
LDEM iShares ESG MSCI EM Leaders ETF

The following Nasdaq listed symbols will move from Tier 1 to Tier 2:

PUI Invesco DWA Utilities Momentum ETF
DVOL First Trust Dorsey Wright Momentum & Low Volatility ETF

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Nasdaq (Nasdaq: NDAQ) is a leading global provider of trading, clearing, exchange technology, listing, information and public company services. 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 90 marketplaces in 50 countries, and 1 in 10 of the world's securities transactions. Nasdaq is home to approximately 3,900 total listings with a market value of approximately $13 trillion. To learn more, visit: