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Our experts frequently write blog posts about the findings of the research we are conducting.

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Displaying 3 out of 3 results for "Inverse ETF".

FINRA Regulatory Notice: Commodity Futures-Linked Securities

(Oct 2010)

Sales Practice Obligations for Commodity Futures-Linked Securities

The Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 10-51 reminding firms to make fair and balanced statements in its communication with the public on commodity futures-linked securities. They are reminded that the returns on such securities can often deviate from the returns on the underlying commodities to which they track.

In an effort to further educate public investors, SLCG has written...

FINRA Press Release: Inverse Floating Rate CMOs

(Aug 2010)

FINRA Fines HSBC $375,000 for Unsuitable Sales of Inverse Floating Rate CMOs to Retail Customers and Related Supervisory Failures

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that

"it has fined HSBC Securities (USA) Inc. $375,000 for recommending unsuitable sales of inverse floating rate Collateralized Mortgage Obligations (CMOs) to retail customers. HSBC failed to adequately supervise the suitability of the CMO sales and fully explain the...

SLCG Research: Leveraged ETFs

(Aug 2010)

SLCG released today 'Leveraged ETFs, Holding Periods and Investment Shortfalls'.

Exchange-Traded Funds is an investment fund that holds stocks, bonds, or commodities and typically tracks specific indices of such asset classes. Leveraged and inverse leveraged ETFs were first introduced to the market in June 2006 by ProFunds, which promiseds to return a multiple of the underlying index return by rebalancing their portfolios at the end of each day. The total market value of leveraged and...

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