ETF Bond List - National Association of Insurance Commissioners
ETF Bond List
ETFs Eligible to be Reported as Bonds
December 20, 2019
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National Association of Insurance Commissioners
List of Approved ETFs for Reporting as Bonds as of December 20, 2019
NOTE:
An insurance company that purchases an ETF whose name was added by the SVO to:
? the List of Exchange Traded Funds Eligible for Reporting as a Schedule D Bond or to ? the List of Exchange Traded Funds Eligible for Reporting as a Schedule D Preferred Stock,
must file the ETF with the SVO if they wish to obtain a final NAIC Designation for reporting purposes. The Regulatory Treatment Analysis Services ("RTAS") process used to evaluate ETFs under Part Four, Section 2 only results in the assignment of a preliminary NAIC Designations to the ETF.
Preliminary NAIC Designations are indications of the likely SVO response if the ETF were purchased by an insurer and filed with the SVO for assignment of an NAIC Designation and are based on preliminary documentation and therefore cannot be used to report the ETF to the NAIC or state insurance regulators.
Please refer to Part Four, Section 2 of the Purposes and Procedures Manual of the NAIC Investment Analysis Office for text discussing the RTAS process and to Section 3 (a) (ix) of that Part for a detailed discussion of the preliminary status of NAIC Designations assigned under the RTAS process.
ETF NAME Xtrackers High Beta High Yield Bond ETF Xtrackers Low Beta High Yield Bond ETF Xtrackers Short Duration High Yield Bond ETF Deutsche X-trackers USD High Yield Corporate Bond ETF Deutsche X-trackers Municipal Infrastructure Revenue Bond ETF First Trust Senior Loan ETF First Trust Enhanced Short Maturity ETF FlexShares iBoxx 3-Year Target Duration TIPS Index Fund FlexShares iBoxx 5-Year Target Duration TIPS Index Fund FlexShares High Yield Value-Scored Bond Index Fund FlexShares Ready Access Variable Income Fund Franklin Short Duration U.S. Government ETF Goldman Sachs Access Inflation Protected USD Bond ETF Goldman Sachs Access High Yield Corporate Bond ETF Goldman Sachs Access Investment Grade Corporate Bond ETF Goldman Sachs Treasury Access 0-1 Year ETF Highland/iBoxx Senior Loan ETF IQ MacKay Shields Municipal Intermediate ETF IQ MacKay Shields Municipal Insured ETF Invesco International Corporate Bond ETF Invesco Fundamental High Yield? Corporate Bond ETF Invesco Emerging Markets Sovereign Debt ETF
CUSIP 233051259 233051267 233051283 233051432 233051705 33738D309 33739Q408 33939L506 33939L605 33939L662 33939L886 353506108 381430362 381430453 381430479 381430529 430101774 45409F827 45409F843 46138E636 46138E719 46138E784
? 2019 National Association of Insurance Commissioners Page 1 of 5
ETF NAME Invesco Senior Loan ETF Invesco Taxable Municipal Bond ETF Invesco Treasury Collateral ETF iShares US & International High Yield Corp Bond ETF iShares International High Yield Bond ETF iShares JP Morgan EM Corporate Bond ETF iShares Emerging Markets High Yield Bond ETF iShares JP Morgan EM Local Currency Bond ETF iShares TIPS Bond ETF iShares Core U.S. Aggregate Bond ETF iShares iBoxx $ Investment Grade Corporate Bond ETF iShares 20+ Year Treasury Bond ETF iShares 7-10 Year Treasury Bond ETF iShares 1-3 Year Treasury Bond ETF iShares International Treasury Bond ETF iShares 1-3 Year International Treasury Bond ETF iShares Short-Term National Muni Bond ETF iShares Agency Bond ETF iShares J.P. Morgan USD Emerging Markets Bond ETF iShares New York Muni Bond ETF iShares California Muni Bond ETF iShares National Muni Bond ETF iShares iBoxx $ High Yield Corporate Bond ETF iShares MBS ETF iShares Government/Credit Bond ETF iShares Intermediate Government/Credit Bond ETF iShares Broad USD Investment Grade Corporate Bond ETF iShares Intermediate-Term Corporate Bond ETF iShares Short-Term Corporate Bond ETF iShares 10-20 Year Treasury Bond ETF iShares 3-7 Year Treasury Bond ETF iShares Short Treasury Bond ETF iShares Core 10+ Year USD Bond ETF iShares Long-Term Corporate Bond ETF iShares Core U.S. Treasury Bond ETF iShares Aaa - A Rated Corporate Bond ETF iShares Core GNMA Bond ETF iShares CMBS ETF iShares Floating Rate Bond ETF iShares 0-5 Year TIPS Bond ETF iShares Short Maturity Bond ETF (Active Fund) iShares Core Short-Term USD Bond ETF iShares iBonds Mar 2020 Term Corporate ex-Financials ETF iShares iBonds Mar 2023 Term Corporate ex-Financials ETF iShares iBonds Mar 2023 Term Corporate ETF iShares iBonds Mar 2020 Term Corporate ETF
? 2019 National Association of Insurance Commissioners Page 2 of 5
CUSIP 46138G508 46138G805 46138G888 464286178 464286210 464286251 464286285 464286517 464287176 464287226 464287242 464287432 464287440 464287457 464288117 464288125 464288158 464288166 464288281 464288323 464288356 464288414 464288513 464288588 464288596 464288612 464288620 464288638 464288646 464288653 464288661 464288679 464289479 464289511 46429B267 46429B291 46429B333 46429B366 46429B655 46429B747 46431W507 46432F859 46432FAK3 46432FAN7 46432FAZ0 46432FBC0
ETF NAME iShares 0-5 Year Investment Grade Corporate Bond ETF iShares 0-5 Year High Yield Corporate Bond ETF iShares iBonds Sep 2020 Term Muni Bond ETF iShares Core Total USD Bond Market ETF iShares Yield Optimized Bond ETF iShares Treasury Floating Rate Bond ETF iShares Liquidity Income ETF (Active Fund) iShares iBonds Dec 2020 Term Corporate ETF iShares iBonds Dec 2023 Term Corporate ETF iShares iBonds Dec 2022 Term Corporate ETF iShares iBonds Dec 2025 Term Corporate ETF iShares iBonds Dec 2024 Term Corporate ETF iShares iBonds Dec 2021 Term Corporate ETF iShare 10+ Year Investment Grade Corporate Bond ETF iShare 5-10 Year Investment Grade Corporate Bond ETF iShares ESG USD Corporate Bond ETF iShares Edge Investment Grade Enhanced Bond ETF iShares ESG 1-5 Year USD Corporate Bond ETF iShares Edge High Yield Defensive Bond ETF iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF iShares Fallen Angels USD Bond ETF iShares iBonds Dec 2022 Term Muni Bond ETF iShares iBonds Dec 2021 Term Muni Bond ETF iShares iBonds Dec 2026 Term Corporate ETF iShares iBonds Dec 2025 Term Muni Bond ETF iShares iBonds Dec 2028 Term Corporate ETF iShares ESG U.S. Aggregate Bond ETF iShares iBonds Dec 2024 Term Muni Bond ETF iShares Broad USD High Yield Corporate Bond ETF JPMorgan Corporate Bond Research Enhanced ETF JPMorgan U.S. Aggregate Bond ETF JPMorgan Ultra-Short Income ETF JPMorgan High Yield Research Enhanced ETF Janus Henderson Short Duration Income ETF Sage ESG Intermediate Credit ETF NuShares Enhanced Yield U.S. Aggregate Bond ETF NuShares Enhanced Yield 1-5 Year U.S. Aggregate Bond ETF PGIM Ultra Short Bond ETF (Active Fund) PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund PIMCO Enhanced Maturity Active ETF SPDR Portfolio Corporate Bond ETF SPDR Bloomberg Barclays International Corporate Bond ETF SPDR Nuveen Bloomberg Barclays High Yield Municipal Bond ETF SPDR Bloomberg Barclays Short Term International Treasury Bond ETF SPDR Portfolio Long Term Corporate Bond ETF
? 2019 National Association of Insurance Commissioners Page 3 of 5
CUSIP 46434V100 46434V407 46434V571 46434V613 46434V787 46434V860 46434V878 46434VAQ3 46434VAX8 46434VBA7 46434VBD1 46434VBG4 46434VBK5 46435G144 46435G151 46435G193 46435G219 46435G243 46435G250 46435G441 46435G474 46435G755 46435G789 46435GAA0 46435U432 46435U515 46435U549 46435U697 46435U853 46641Q449 46641Q613 46641Q837 46641Q878 47103U886 66538H583 67092P102 67092P110 69344A107 72201R783 72201R817 72201R833 78464A144 78464A151 78464A284 78464A334 78464A367
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