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Investment Management

Key Topics for World Investor Week 2021: Investor Bulletin

The SEC’s Office of Investor Education and Advocacy, the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to highlight some key topics for World Investor Week 2021, a global campaign to raise awareness about the importance of investor education and protection.  From October 4-10, 2021, investors, investment professionals, teachers, parents, researchers, and others are encouraged to make a special effort to promote investor education. Here are a few current key topics we are seeing for Main Street investors in the United States.

Funds Trading in Bitcoin Futures – Investor Bulletin

The Securities and Exchange Commission’s (SEC’s) Office of Investor Education and Advocacy (OIEA) and the Commodity Futures Trading Commission’s (CFTC’s) Office of Customer Education and Outreach (OCEO) urge investors considering a fund with exposure to the Bitcoin futures market to weigh carefully the potential risks and benefits of the investment. Among other things, investors should understand that Bitcoin, including gaining exposure through the Bitcoin futures market, is a highly speculative investment. As such, investors should consider the volatility of Bitcoin and the Bitcoin futures market, as well as the lack of regulation and potential for fraud or manipulation in the underlying Bitcoin market.

Investor Bulletin: Mutual Fund Conversion to Exchange-Traded Fund (ETF)

Some mutual funds have announced plans to convert to ETFs. ETFs are similar to mutual funds. They both are pooled investment vehicles that invest in a variety of investments, but they are structured differently. The Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about certain considerations in connection with these conversions.

Environmental, Social and Governance (ESG) Funds – Investor Bulletin

Funds such as mutual funds and ETFs that focus on environmental, social, and governance principles (ESG Funds) have gained popularity with investors over time. Investors may hear about these funds from financial professionals, from investment-focused online sites, or even from popular media. The SEC's Office of Investor Education and Advocacy is issuing this bulletin to educate investors about ESG Funds, including important questions to ask if considering whether investing in them is right for you.

 

Publicly Traded Business Development Companies (BDCs): Investor Bulletin

The SEC’s Office of Investor Education and Assistance is issuing this Investor Bulletin to provide investors information about business development companies, or BDCs, that are traded on national securities exchanges. It is important to understand them before investing.

Relationship Summaries (Form CRS or Form ADV Part 3): Investor Bulletin

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors information about the customer or client “relationship summary” (also called Form CRS and Form ADV Part 3) that broker-dealers and investment advisers are required to provide when they offer services to retail investors.

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