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State Securities Regulators Seek to Tighten Investment Information Security Rules for State-licensed Investment Advisors

On September 23, 2018, the North American Securities Administrators Association, Inc. (“NASAA”) released three proposed additions and revisions to the investment advisor model rules related to information security and privacy (the “NASAA Information Security Rule Proposals”).[1]  State-licensed investment advisors should expect that some version of these proposed model rules will ultimately be adopted by many Read More

Leveraged ETF’s – Short-term Trading Vehicles; Not Long-Term Investments

Leveraged exchange traded funds (“ETFs”) were first introduced in 2006, and 3x Leveraged ETFs – designed to achieve 3x the performance of the underlying index or benchmark that a particular ETF tracks – were first introduced in November 2008 in the midst of the global financial crisis. Unlike traditional ETFs, such as SPDR S&P 500 Read More

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