GYLD / Arrow ETF Trust - Arrow Dow Jones Global Yield ETF - Документы SEC, Годовой отчет, Доверенное заявление

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 333-177651 Arrow ETF Trust - NYSE Arca, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 6100 CHEVY CHASE D

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

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 Arrow ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I.

Ms. Christina DiAngelo-Fettig

July 12, 2023 Ms. Christina DiAngelo-Fettig Division of Investment Management Disclosure Review and Accounting Office U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: Arrow ETF Trust – Arrow Dow Jones Global Yield ETF Dear Ms. DiAngelo-Fettig: On April 25, 2023, you provided oral comments regarding various financial-related filings made by the Arrow Dow Jones Gl

$ 25,578,926

NPORT-EX 2 arrowetfnport.htm ARROW DOW JONES GLOBAL YIELD ETF ARROW DOW JONES GLOBAL YIELD ETF SCHEDULE OF INVESTMENTS (Unaudited) October 31, 2022 Shares Fair Value COMMON STOCKS — 43.9% BANKING - 1.5% 674,534 China Minsheng Banking Corp Ltd., H Shares $ 195,923 605,048 Chongqing Rural Commercial Bank Company Ltd., H Shares 183,448 379,371 CHEMICALS - 0.7% 33,019 Chemtrade Logistics Income Fund 1

ARROW DOW JONES GLOBAL YIELD ETF_NQ_4.30.2022

ARROW DOW JONES GLOBAL YIELD ETF SCHEDULE OF INVESTMENTS (Unaudited) April 30, 2022 Shares Fair Value COMMON STOCKS — 44.

$ 39,157,709

ARROW DOW JONES GLOBAL YIELD ETF SCHEDULE OF INVESTMENTS (Unaudited) October 31, 2021 Shares Fair Value COMMON STOCKS — 45.

Arrow Dow Jones Global Yield ETF

Arrow Dow Jones Global Yield ETF PORTFOLIO OF INVESTMENTS (Unaudited) April 30, 2021 Shares Value COMMON STOCKS - 44.

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April 5, 2021 Christina DiAngelo Fettig Office of Disclosure and Review U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Arrow Investments Trust, File Nos. 333-178164 and 811-22638 and Arrow ETF Trust, File Nos. 333-177651 and 811-22624 Dear Ms. DiAngelo Fettig: On March 5, 2021, you provided verbal comments to Krisztina Nadasdy with respect to a response lette

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February 25, 2021 Christina DiAngelo Fettig Office of Disclosure and Review U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Arrow Investments Trust, File Nos. 333-178164 and 811-22638 and Arrow ETF Trust, File Nos. 333-177651 and 811-22624 Dear Ms. DiAngelo Fettig: On January 26, 2021 you provided verbal comments to Krisztina Nadasdy with respect to certain pr

Arrow Dow Jones Global Yield ETF

Arrow Dow Jones Global Yield ETF PORTFOLIO OF INVESTMENTS (Unaudited) October 31, 2020 Shares Value COMMON STOCKS - 43.

The following is a summary of significant accounting policies followed by the Fund in preparation of its financial statements. The policies are in conformity with accounting principles generally accepted in the United States of America (“GAAP”). The

Arrow Dow Jones Global Yield ETF PORTFOLIO OF INVESTMENTS (Unaudited) April 30, 2020 Principal Amount ($) Coupon Rate (%) Maturity Value BONDS & NOTES - 48.

GYLD / Arrow Dow Jones Global Yield ETF N-Q - Quarterly Schedule of Portfolio Holdings - N-Q

N-Q 1 arrowetfnq.htm 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 811-22624 Arrow ETF Trust (Exact name of registrant as specified in charter) 6100 Chevy Chase Drive Suite 100 Laurel, MD 20707 (Address of principal executive offices) (Zip c

I, Joseph Barrato, certify that:

CERTIFICATIONS I, Joseph Barrato, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF, a Series of the Arrow 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 of the circumstances under which such statements were made, not

Arrow Etf Trust N-Q - Quarterly Schedule of Portfolio Holdings - N-Q

N-Q 1 arrowdjetfnq.htm 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 811-22624 Arrow ETF Trust (Exact name of registrant as specified in charter) 6100 Chevy Chase Drive Suite 100 Laurel, MD 20707 (Address of principal executive offices) (Zip

I, Joseph Barrato, certify that:

CERTIFICATIONS I, Joseph Barrato, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF, a Series of the Arrow 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 of the circumstances under which such statements were made, not

Amended ETF Distribution Agreement with Northern Lights Distributors, LLC, which was filed as an exhibit to the Registrant’s Registration Statement on June 7, 2019, is incorporated by reference.

EX-99.E UNDR CONTR 2 ex99e.htm ETF DISTRIBUTION AGREEMENT This ETF Distribution Agreement (this “Agreement”) is effective the 1st day of February, 2019, between Arrow ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of itself and the fund(s) listed on Schedule B, as may be amended from time to time (each, a “Fund”, and collectively, the “Funds”), Archer Distributors, LLC, a Delaware

Arrow Etf Trust POS EX - - POS EX

POS EX 1 arrowetfposex.htm POS EX AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JUNE 7, 2019 No. 811-22624 No. 333-177651 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. o Post-Effective Amendment No. 15 x and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT O

ETF Fund Services Agreement with Gemini Fund Services, LLC which was filed as an exhibit to the Registrant’s Registration Statement on June 7, 2019, is incorporated by reference.

FUND SERVICES AGREEMENT between ARROW INVESTMENTS TRUST, ARROW ETF TRUST and INDEX 1.

Arrow Etf Trust CORRESP

April 1, 2019 Jeff Long Sr. Staff Accountant Office of Disclosure and Review U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Arrow Investments Trust, File Nos. 333-178164 and 811-22638 and Arrow ETF Trust, File Nos. 333-177651 and 811-22624 Dear Mr. Long: On March 4, 2019 you provided verbal comments to me with respect to certain prospectus and shareholder rep

I, Joseph Barrato, certify that:

CERTIFICATIONS I, Joseph Barrato, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF, a Series of the Arrow 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 of the circumstances under which such statements were made, not

Arrow Etf Trust 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 811-22624 Arrow ETF Trust (Exact name of registrant as specified in charter) 6100 Chevy Chase Drive Suite 100 Laurel, MD 20707 (Address of principal executive offices) (Zip code) Corporation Service

Arrow Etf Trust N-Q (Quarterly Schedule of Portfolio Holdings)

N-Q 1 arrowgyldnq.htm 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 811-22624 Arrow ETF Trust (Exact name of registrant as specified in charter) 6100 Chevy Chase Drive Suite 100 Laurel, MD 20707 (Address of principal executive offices) (Zip

I, Joseph Barrato, certify that:

CERTIFICATIONS I, Joseph Barrato, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF, a Series of the Arrow 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 of the circumstances under which such statements were made, not

I, Joseph Barrato, certify that:

Blu Giant, LLC CERTIFICATIONS I, Joseph Barrato, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF Fund, a Series of the Arrow 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 of the circumstances under which such state

Arrow Etf Trust - N-Q

N-Q 1 arrowetfdjnq.htm 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 811-22624 Arrow ETF Trust (Exact name of registrant as specified in charter) 6100 Chevy Chase Drive Suite 100 Laurel, MD 20707 (Address of principal executive offices) (Zip

Arrow Etf Trust - 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 811-22624 Arrow ETF Trust (Exact name of registrant as specified in charter) 6100 Chevy Chase Drive Suite 100 Laurel, MD 20707 (Address of principal executive offices) (Zip code) Corporation Service

I, Joseph Barrato, certify that:

Blu Giant, LLC CERTIFICATIONS I, Joseph Barrato, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF Fund, a Series of the Arrow 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 of the circumstances under which such state

Arrow Etf Trust - N-Q

N-Q 1 arrowdjetfnq.htm 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 811-22624 Arrow ETF Trust (Exact name of registrant as specified in charter) 6100 Chevy Chase Drive Suite 100 Laurel, MD 20707 (Address of principal executive offices) (Zip

I, Joseph Barrato, certify that:

EX-99.CERT 2 cert.htm CERTIFICATIONS I, Joseph Barrato, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF Fund, a Series of the Arrow 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 of the circumstances under which suc

Arrow Etf Trust - N-Q

N-Q 1 arrowetfdjnq.htm 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 811-22624 Arrow ETF Trust (Exact name of registrant as specified in charter) 6100 Chevy Chase Drive Suite 100 Laurel, MD 20707 (Address of principal executive offices) (Zip

I, Joseph Barrato, certify that:

Blu Giant, LLC CERTIFICATIONS I, Joseph Barrato, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF, a Series of the Arrow 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 of the circumstances under which such statements

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CORRESP 1 filename1.htm February 12, 2016 Christina DiAngelo Fettig Office of Disclosure and Review U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Arrow ETF Trust, File Nos. 333-177651 and 811-22624 Dear Ms. DiAngelo Fettig: On February 2, 2016, you provided follow up emailed comments with respect to the Annual Report to Shareholders, for the period ended Jan

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CORRESP 1 filename1.htm February 2, 2016 Christina DiAngelo Fettig Office of Disclosure and Review U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Arrow ETF Trust, File Nos. 333-177651 and 811-22624 Dear Ms. DiAngelo Fettig: On January 6, 2016, you provided oral comments with respect to the Annual Report to Shareholders, for the period ended January 31, 2015 (

Arrow Etf Trust - N-Q

N-Q 1 arrowetfnq.htm 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 811-22624 Arrow ETF Trust (Exact name of registrant as specified in charter) 17605 Wright Street, Omaha, NE 68130 (Address of principal executive offices) (Zip code) James As

I, Joseph Barrato, certify that:

EX-99.CERT 2 cert.htm CERTIFICATIONS I, Joseph Barrato, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF Fund, a Series of the Arrow 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 of the circumstances under which suc

Arrow Etf Trust - 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 811-22624 Arrow ETF Trust (Exact name of registrant as specified in charter) 6100 Chevy Chase Drive, Suite 100, Laurel, MD 20707 (Address of principal executive offices) (Zip code) James Ash, Gemini

I, Joseph Barrato, certify that:

Blu Giant, LLC CERTIFICATIONS I, Joseph Barrato, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF Fund, a Series of the Arrow 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 of the circumstances under which such state

I, Joseph Barrato, certify that:

GemCom, LLC CERTIFICATIONS I, Joseph Barrato, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF Fund, a Series of the Arrow 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 of the circumstances under which such statemen

Arrow Etf Trust - N-Q

N-Q 1 arrowetfnq.htm 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 811-22624 Arrow ETF Trust (Exact name of registrant as specified in charter) 17605 Wright Street, Omaha, NE 68130 (Address of principal executive offices) (Zip code) James As

GYLD / Arrow Dow Jones Global Yield ETF N-Q - Quarterly Schedule of Portfolio Holdings - N-Q

N-Q 1 nq.htm 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 811-22624 Arrow ETF Trust (Exact name of registrant as specified in charter) 17605 Wright Street, Omaha, NE 68130 (Address of principal executive offices) (Zip code) James Ash, Gemin

I, Joseph Barrato, certify that:

GemCom, LLC CERTIFICATIONS I, Joseph Barrato, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF Fund, a Series of the Arrow 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 of the circumstances under which such statemen

- DEF 14A

DEF 14A 1 def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [x] Filed by a Party other than the Registrant [] Check the appropriate box: [] Preliminary Proxy Sta

I, Andrew Rogers, certify that:

GemCom, LLC CERTIFICATIONS I, Andrew Rogers, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF, a Series of the Northern Lights 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 of the circumstances under which such stat

Quarterly Schedule of Portfolio Holdings - 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 811-22624 Northern Lights ETF Trust (Exact name of registrant as specified in charter) 17605 Wright Street, Omaha, NE 68130 (Address of principal executive offices)(Zip code) James Ash, Gemini Fund S

Quarterly Schedule of Portfolio Holdings - N-Q

N-Q 1 nq.htm 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 811-22624 Northern Lights ETF Trust (Exact name of registrant as specified in charter) 17605 Wright Street, Omaha, NE 68130 (Address of principal executive offices) (Zip code) James

I, Andrew Rogers, certify that:

GemCom, LLC CERTIFICATIONS I, Andrew Rogers, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF Fund, a Series of the Northern Lights 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 of the circumstances under which such

CERTIFICATIONS

EX-99.CERT 2 certs.htm CERTIFICATIONS I, Andrew Rogers, certify that: 1. I have reviewed this report on Form N-Q of Arrow Dow Jones Global Yield ETF, a Series of the Northern Lights 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 of the circumstances under whic

Quarterly Schedule of Portfolio Holdings - N-Q

GemCom, LLC 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 811-22624 Northern Lights ETF Trust (Exact name of registrant as specified in charter) 4020 South 147th Street, Omaha, Nebraska 68137 (Address of principal executive offices) (Zip code) J

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8-A12B 1 form8a.htm 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 Northern Lights ETF Trust (Exact name of registrant as specified in its charter) Delaware See Below (State of incorporation or organization) (I.R.S. Employer Identification No.)

Fund Services Agreement with Gemini Fund Services, which was filed as an exhibit to the Registrant’s Registration Statement on April 3, 2012, is incorporated by reference.

FUND SERVICES AGREEMENT between NORTHERN LIGHTS ETF TRUST and INDEX 1. APPOINTMENT AND DELIVERY OF DOCUMENTS 2. DUTIES OF GFS 3. FEES AND EXPENSES 4. STANDARD OF CARE, INDEMNIFICATION AND RELIANCE 5. LIMITATION OF SHAREHOLDER AND TRUSTEE LIABILITY 6. EXPENSES ASSUMED BY THE TRUST 7. REPRESENTATIONS AND WARRANTIES 8. CONFIDENTIALITY 9. PROPRIETARY INFORMATION 10. ADDITIONAL FUNDS AND CLASSES 11. AS

CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

GemCom, LLC CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Pre-Effective Amendment to the Registration Statement on Form N-1A of Arrow Dow Jones Global Yield ETF (“the Fund”), a series of shares of beneficial interest of Northern Lights ETF Trust, and to the use of our report dated March 30, 2012 on the statement of assets and liabilities as of March 27, 2012 of the Fund.

Code of Ethics of the Advisor, which was filed as an exhibit to the Registrant’s Registration Statement on April 3, 2012, is incorporated by reference.

GemCom, LLC ARROW INVESTMENT ADVISORS, LLC Code of Ethics Procedure Creation Date: 05- 31- 2006 Procedures Reviewed as of : 03-03-2008; 10-06-2009 10-01-2010 09-27-2011 Procedures Revised as of: 03-03-2008; 10-06-2009 Regulatory Rules: 204A-1 under the Investment Advisors Act of 1940 and 17j-1 under the Investment Company Act of 1940 Arrow Investment Advisors, LLC (“Arrow”) has adopted this Code of Ethics (the “Code”) pursuant to the requirements of Rule 204A-1 under the Investment Advisers Act of 1940 (the “Advisers Act”) and Rule 17j-1 under the Investment Company Act of 1940 (the “1940 Act”).

Plan of Distribution Pursuant to Rule 12b-1 with respect to shares of the Registrant, which was filed as an exhibit to the Registrant’s Registration Statement on April 3, 2012, is incorporated by reference.

NORTHERN LIGHTS ETF TRUST 12b-1 Distribution and Service Plan WHEREAS, Northern Lights 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; WHEREAS, the Board of Trustees of the Trust (“Trustees”) desires to adopt a plan of distribution pursuant to rule l2b-1 u

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April 2, 2012 VIA EDGAR John Grzeskiewicz Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Northern Lights ETF Trust: Arrow Dow Jones Global Yield ETF (f/k/a ArrowShares Global Yield ETF) (File Nos. 333-177651 and 811-22624) Dear Mr. Grzeskiewicz: On February 16, 2012, Northern Lights ETF Trust (the “Trust” or “Registrant”) filed p

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April 3, 2012 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Northern Lights ETF Trust – Pre-Effective Amendment No. 2 to the Registration Statement on Form N-1A (File Nos. 333-177651 and 811-22624) Dear Sir or Madam: Please find enclosed for filing on behalf of Northern Lights ETF Trust (the “Trust”), pursuant to the Securities Act of 1933, as amended,

April 3, 2012

EX-99.I LEGAL OPININ 10 f9928i.htm OPINION AND CONSENT OF COUNSEL April 3, 2012 Northern Lights ETF Trust 450 Wireless Boulevard Hauppauge, NY 11788 Ladies and Gentlemen: We have acted as counsel to Northern Lights ETF Trust, a Delaware statutory trust (the “Trust”), in connection with the filing with the Securities and Exchange Commission (the “Commission”) of Pre-Effective Amendment No. 2 (the “

ETF DISTRIBUTION AGREEMENT

EX-99.E UNDR CONTR 5 f9928e1.htm DISTRIBUTION AGREEMENT ETF DISTRIBUTION AGREEMENT This ETF Distribution Agreement (the “Agreement’) is made as of this 1st day of March, 2012, between Northern Lights ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of itself and the fund(s) listed on Schedule A (each, a “Fund”, and collectively, the “Funds”), and Northern Lights Distributors, LLC a N

Form of Authorized Participant Agreement, which was filed as an exhibit to the Registrant’s Registration Statement on April 3, 2012, is incorporated by reference.

GemCom, LLC AUTHORIZED PARTICIPANT AGREEMENT AUTHORIZED PARTICIPANT AGREEMENT (this “Agreement”) dated as of March , 2012 between Northern Lights Distributors, LLC (“Distributor”) and (“”), a organized under the laws of (the “Participant”)and is subject to acceptance by Brown Brothers Harriman, LLC, the index receipt agent (“Index Receipt Agent”) for Northern Lights ETF Trust (the “Trust”).

Code of Ethics of the Trust, which was filed as an exhibit to the Registrant’s Registration Statement on April 3, 2012, is incorporated by reference.

GemCom, LLC Northern Lights ETF Trust CODE OF ETHICS Northern Lights ETF Trust (the “Trust”) and each of its series (the “Funds”) has adopted this Code of Ethics (the “Code”) in order to set forth guidelines and procedures that promote ethical practices and conduct by all of its Access Persons and to ensure that all Access Persons comply with the federal securities laws.

COMPLIANCE CONSULTING AGREEMENT

EX-99.H OTH MAT CONT 9 f9928hii.htm COMPLIANCE CONSULTING AGREEMENT COMPLIANCE CONSULTING AGREEMENT This Compliance Consulting Agreement (the “Agreement”) is effective January 19, 2012, between NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, a Nebraska limited liability company located at 450 Wireless Boulevard, Hauppauge, NY 11788 (“NLCS”), and NORTHERN LIGHTS ETF TRUST, a Delaware business trust, whos

- N-1A/A

AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON April 3, 2012. No. 811-22624 No. 333-177651 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A/A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ? x Pre-Effective Amendment No 2. ? x Post-Effective Amendment No. o and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 2 x

Letter of Investment Intent, which was filed as an exhibit to the Registrant’s Registration Statement on April 3, 2012, is incorporated by reference.

EX-99.L INT CAP AGRE 12 f9928l.htm LETTER OF INVESTMENT INTENT NorthStar Financial Services Group, LLC 4020 South 147th Street Omaha, NE 68137 March 22, 2012 Northern Lights ETF Trust 450 Wireless Boulevard Hauppauge, NY 11788 Ladies and Gentlemen: In order to provide Northern Lights ETF Trust (the “Trust”) with initial capital, we hereby purchase from the Trust the amount of shares of the followi

Custody and Transfer Agent Agreement with Brown Brothers Harriman & Co., which was filed as an exhibit to the Registrant’s Registration Statement on April 3, 2012, is incorporated by reference.

CUSTODIAN AND TRANSFER AGENT AGREEMENT THIS AGREEMENT, dated as of March 22, 2012, between Northern Lights ETF Trust (the Fund, including its separate series, the Portfolios), an open-end management investment company organized under the laws of the State of Delaware and registered with the Commission under the Investment Company Act of 1940 (the 1940 Act), and BROWN BROTHERS HARRIMAN & CO.

INVESTMENT ADVISORY AGREEMENT

EX-99.D ADVSR CONTR 4 f9928d.htm INVESTMENT ADVISORY AGREEMENT INVESTMENT ADVISORY AGREEMENT Agreement made as of January 19, 2012, between NORTHERN LIGHTS ETF TRUST, a Delaware statutory trust (“Trust”), and ARROW INVESTMENT ADVISORS, LLC (“Adviser”), a Delaware limited liability company registered as an investment adviser under the Investment Advisers Act of 1940, as amended (“Advisers Act”). WH

- N-1A/A

GemCom, LLC AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON FEBRUARY 16, 2012.

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GemCom, LLC February 17, 2012 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Northern Lights ETF Trust – Pre-Effective Amendment No. 1 to the Registration Statement on Form N-1A (File Nos. 333-177651 and 811-22624) Dear Sir or Madam: Please find enclosed for filing on behalf of Northern Lights ETF Trust (the “Trust”), pursuant to the Securities Act of 1

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February 17, 2012 VIA EDGAR John Grzeskiewicz Division of Investment Management U.

Northern Lights ETF Trust 4020 South 147th Street Omaha, NE 68137 November 18, 2011

Northern Lights ETF Trust 4020 South 147th Street Omaha, NE 68137 November 18, 2011 VIA EDGAR U.

Registrant's Trust Instrument, which was filed as an exhibit to the Registrant's Registration Statement on November 1, 2011, is incorporated by reference.

NORTHERN LIGHTS ETF TRUST 4020 South 147th Street, Suite 2 Omaha, Nebraska 68137 TRUST INSTRUMENT As adopted August 29, 2011 Table of Contents ARTICLE I DEFINITIONS 1 ARTICLE II THE TRUSTEES 2 Section 1.

Certificate of Trust, which was filed as an exhibit to the Registrant's Registration Statement on November 1, 2011, is incorporated by reference.

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GemCom, LLC November 1, 2011 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Northern Lights ETF Trust Initial Registration Statement on Form N-1A Ladies and Gentlemen: Transmitted herewith for filing on behalf of Northern Lights ETF Trust (the "Trust"), pursuant to the Securities Act of 1933, as amended, and the Investment Company Act of 1940, as amende

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AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON NOVEMBER , 2011. No. 811-XXXXX No. 333-XXXXX UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Pre-Effective Amendment No. o Post-Effective Amendment No. o and/or REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. o (Check ap

UNITED STATES 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

N-8A 1 n8a.htm NORTHERN LIGHTS ETF TRUST UNITED STATES 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

Registrant's By-Laws, which were filed as an exhibit to the Registrant's Registration Statement on November 1, 2011, is incorporated by reference.

NORTHERN LIGHTS ETF TRUST BY-LAWS As adopted August 29, 2011 TABLE OF CONTENTS Page ARTICLE I PRINCIPAL OFFICE AND SEAL 1 Section 1.