Matthew Hoke

Matthew Hoke

McNees Wallace & Nurick LLC

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Navigating Regulatory Risks: Leveraged and Inverse ETFs Targeted by Pennsylvania Department of Banking and Securities 

The Pennsylvania Department of Banking and Securities (Department) has recently targeted registered investment advisers who utilize leveraged and inverse exchange traded funds (ETFs). Advisers should be aware of the...more

2/3/2025  /  Compliance , Enforcement Actions , Exchange-Traded Products , Financial Industry Regulatory Authority (FINRA) , Financial Regulatory Reform , Investment Adviser , Investment Funds , Registered Investment Advisors , Risk Management , Securities Regulation
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