First Trust Advisors L.P. (“First Trust”), a provider of more
than 200 investment products, many of which offer transparency, tax
efficiency and a rules-based approach to stock selection, announces
the launch of the Multi-Asset Diversified Income Index Fund
(NASDAQ: MDIV) and the First Trust NASDAQ Technology
Dividend Index Fund (NASDAQ: TDIV), two exchange-traded
funds (ETFs) which began trading on NASDAQ today.
The Multi-Asset Diversified Income Index Fund (“the Fund”) seeks
investment results that correspond generally to the price and yield
(before the Fund’s fees and expenses) of the NASDAQ Multi-Asset
Diversified Income IndexSM. The Fund provides exposure to a
diversified mixture of asset classes within a single investment
portfolio, and the portfolio is further diversified within each
asset class. As a result, the Fund provides the potential for a
lower-risk total return alternative to investing solely in one
asset class, and since income is generated from multiple sources,
the Fund may provide less interest-rate sensitivity than
traditional fixed-income securities.
The Fund’s underlying index includes volatility screens designed
to limit securities that have high yields strictly due to poor
price performance, and the index is rebalanced in every quarter.
The index is comprised of domestic and international
dividend-paying stocks, real estate investment trusts (REITs),
master limited partnerships (MLPs), preferred securities and an ETF
that invests in high-yield corporate bonds. Every asset class has
its own set of eligibility criteria, and every security in the
index is U.S.-listed and meets stringent eligibility criteria based
on liquidity, size, volatility and yield.
“With interest rates at historically low levels, income
investors have been seeking yield from alternative sources,
including multi-asset income investing,” said Robert Carey, CFA,
Chief Market Strategist at First Trust. “In our opinion, the
Multi-Asset Diversified Income Index Fund is a disciplined and
transparent solution for income investors that seeks to provide
income generation, diversification and the potential for reduced
volatility in a very challenging market.”
The First Trust NASDAQ Technology Dividend Index Fund (“the
Fund”) seeks investment results corresponding generally to the
price and yield (before the Fund’s fees and expenses) of the NASDAQ
Technology Dividend IndexSM. The Fund provides a simplified way to
gain targeted access to dividend-paying technology companies.
All securities included in the NASDAQ Technology Dividend Index
must be listed on the NASDAQ Stock Market, New York Stock Exchange
(NYSE) or NYSE Amex and classified as technology or
telecommunications companies according to the Industry
Classification Benchmark (ICB).
The index is evaluated semi-annually in March and September, and
is rebalanced every quarter. During every evaluation, each stock is
classified as a technology or telecommunications company based on
its ICB designation. Technology and telecommunications securities
are then given collective weights of 80 percent and 20 percent in
the index, respectively. To limit high concentrations among larger
stocks, the index utilizes caps.
“Given that Internet usage and demand for products such as
mobile phones, semiconductors and computer devices are growing
rapidly, and the technology industry’s dividend growth rate has
outpaced all other sectors over the past seven years, we believe
this is an ideal time to invest in the technology field,” said Ryan
Issakainen, ETF Strategist at First Trust. “According to Moody’s,
it is projected that technology firms will pay out $26 billion in
dividends in 2012. This Fund is a convenient way, in our opinion,
for investors to position their portfolios in dividend-paying
technology companies.”
For more information about First Trust, please contact Chris
Moon of JCPR at 973-850-7304 or cmoon@jcprinc.com.
About First Trust
First Trust provides a broad range of investment products and
services that help financial advisors, registered investment
advisors and other third-party asset managers meet the financial
needs and objectives of their clients. Among the firm’s more than
200 investment products are its family of 72 ETFs, including First
Trust’s core AlphaDEX® series of ETFs. Founded in 1991 with the
goal of offering investors a better way to invest, First Trust uses
a proprietary, rules-based and quantitative investment methodology
to select securities for its AlphaDEX® products. The result is a
portfolio weighted on merit, not cap size, that lowers
stock-specific risk and offers greater tax efficiency. As of June
30, 2012, 13 First Trust ETFs, including 6 AlphaDEX® ETFs, had
four- or five-star ratings from Morningstar**. First Trust is based
in Wheaton, Illinois. For more information, visit
http://www.ftportfolios.com.
**Ranking Criteria: The Morningstar RatingTM is provided
for ETFs with at least a three-year history. Ratings are based on
the ETF’s Morningstar Risk-Adjusted Return measure which accounts
for variation in monthly performance, placing more emphasis on
downward variations and rewarding consistent performance. An ETF’s
risk-adjusted return includes a brokerage commission estimate.
PLEASE NOTE, this estimate is subject to change and the actual
brokerage commission an investor pays may be higher or lower than
this estimate. Morningstar compares each ETF’s risk-adjusted return
to the open-end mutual fund rating breakpoints for that category.
Consistent with the open-end mutual fund ratings, the top 10% of
ETFs in each category receive 5 stars, the next 22.5% receive 4
stars, the next 35% receive 3 stars, the next 22.5% receive 2 stars
and the bottom 10% receive 1 star. The overall rating for an ETF is
based on a weighted average of the ETF’s 3, 5, and 10 year rating.
The determination of an ETF’s rating does not affect the retail
open end mutual fund data published by Morningstar.
General Risks:
The funds’ shares will change in value, and you could lose money
by investing in a fund. One of the principal risks of investing in
a fund is market risk. Market risk is the risk that a particular
stock owned by a fund, fund shares or stocks in general may fall in
value.
The funds’ returns may not match the returns of their underlying
indices. The funds may not be fully invested at times. Securities
held by the funds will generally not be bought or sold in response
to market fluctuations. The funds may invest in
small-capitalization and mid-capitalization companies. Such
companies may experience greater price volatility than larger, more
established companies.
Investors buying or selling fund shares on the secondary market
may incur customary brokerage commissions. Investors who sell fund
shares may receive less than the share’s net asset value. Shares
may be sold throughout the day on the exchange through any
brokerage account. However, shares may only be redeemed directly
from the fund by authorized participants, in very large
creation/redemption units.
The funds invest in securities of non-U.S. issuers. Such
securities are subject to higher volatility than securities of
domestic issuers. Additionally, the funds invest in depositary
receipts, usually in the form of ADRs or GDRs. Investment in ADRs
or GDRs may be less liquid than the underlying shares in their
primary trading market.
An investment in a fund containing equity securities of foreign
issuers is subject to additional risks, including currency
fluctuations, political risks, withholding, the lack of adequate
financial information, and exchange control restrictions impacting
foreign issuers. These risks may be heightened for securities of
companies located in, or with significant operations in, emerging
market countries.
First Trust NASDAQ Technology Dividend Index Fund
Risks:
The fund is classified as “non-diversified.” A non-diversified
fund generally may invest a larger percentage of its assets in the
securities of a smaller number of issuers. As a result, a fund may
be more susceptible to the risks associated with these particular
companies, or to a single economic, political or regulatory
occurrence affecting these companies.
The fund is concentrated in stocks of companies in the
technology sector. You should be aware that an investment in a
portfolio which is concentrated in a particular sector involves
additional risks, including limited diversification. The companies
engaged in the technology sector are subject to fierce competition,
high research and development costs, and their products and
services may be subject to rapid obsolescence.
The fund also invests in companies in the telecommunications
sector. The companies engaged in the telecommunications sector are
subject to fierce competition, government regulations, substantial
research and development costs, and their products and services may
be subject to rapid obsolescence.
Multi-Asset Diversified Income Index Fund Risks:
REITs are subject to certain risks, including changes in the
real estate market, vacancy rates and competition, volatile
interest rates, and economic recession.
MLPs are subject to certain risks, including price and supply
fluctuations caused by international politics, energy conservation,
taxes, price controls, and other regulatory policies of various
governments.
Preferred securities combine some of the characteristics of both
common stocks and bonds. Preferred securities are typically
subordinated to bonds and other debt instruments in a company’s
capital structure, in terms of priority to corporate income, and
therefore will be subject to greater credit risk than those debt
instruments. Preferred securities are also subject to credit risk,
interest rate risk and income risk.
High-yield securities are subject to numerous risks, including
higher interest rates, economic recession, deterioration of the
junk bond market, possible downgrades and defaults of interest
and/or principal. High-yield security prices tend to fluctuate more
than higher-rated securities and are affected by short-term credit
developments to a greater degree.
Investors should consider a fund’s investment objectives,
risks, and charges and expenses carefully before investing. Contact
First Trust Portfolios L.P. at 1-800-621-1675 or visit
www.ftportfolios.com to obtain a prospectus or summary
prospectus which contains this and other information about the
funds. The prospectus or summary prospectus should be read
carefully before investing.
Nasdaq®, OMX®, Nasdaq OMX®, NASDAQ Multi-Asset Diversified
Income IndexSM and NASDAQ Technology Dividend IndexSM are
registered trademarks and service marks of The NASDAQ OMX Group,
Inc. (which with its affiliates is referred to as the
“Corporations”) and are licensed for use by First Trust Advisors
L.P. The Products have not been passed on by the Corporations as to
their legality or suitability. The Products are not issued,
endorsed, sold or promoted by the Corporations. THE CORPORATIONS
MAKE NO WARRANTIES AND BEAR NO LIABILITY WITH RESPECT TO THE
PRODUCTS.
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