---
schema_version: "secwatch.filing_event.v1"
accession: "0000088053-23-000551"
form_type: "8-K"
ticker: null
cik: "0001503123"
company_name: "DBX ETF TRUST"
filed_at: "2023-09-06T23:59:59+00:00"
generated_at: "2026-06-10T23:21:29.952626+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# USNZ ETF receives NYSE Arca delisting notice; six-month cure period granted

## Summary
- NYSE Arca notified DBX ETF Trust on Aug 15, 2023 that USNZ had fewer than 50 beneficial holders as of Aug 3, 2023.
- Trust submitted a compliance plan; cure period runs from Sep 1, 2023 for up to six months.
- To regain compliance, fund must show at least 50 record/beneficial holders for two consecutive months.
- Failure to cure may result in delisting of USNZ from the Exchange.

## SEC filing metadata
- accession: 0000088053-23-000551
- form_type: 8-K
- cik: 0001503123
- company_name: DBX ETF TRUST
- filed_at: 2023-09-06T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 3.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1503123/000008805323000551/0000088053-23-000551-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1503123/000008805323000551/fm8k_090623etf-usnz.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0000088053-23-000551
- JSON: https://secwatch.observer/filing/0000088053-23-000551.json
- Plain text: https://secwatch.observer/filing/0000088053-23-000551.txt

## Key facts
- Listing & Compliance Notices
  DBX ETF TRUST received a nyse deficiency notice notice regarding other.
  - Exchange: nyse
  - Notice: deficiency notice
  source text: August 15, 2023, the Regulation Staff (the “Staff”) of the NYSE provided written notice to DBX ETF Trust (the “Trust”) that it is not in compliance with the continued listing standard of NYSE Arca, Inc. (the “Exchange”) set forth in NYSE Arca Rule 5.2-E(j)(8)(e)(2)(C) that requires that after the twelve-month anniversary of initial listing on the Exchange, an ETF is required to maintain at least 50 beneficial holders. Xtrackers Net Zero Pathway Paris Aligned US Equity ETF (the “Fund”), a series of the Trust, was reported to have less than 50 beneficial shareholders as of August 3, 2023. In acc
  evidence_url: https://www.sec.gov/Archives/edgar/data/1503123/000008805323000551/0000088053-23-000551-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.