SEC Commissioners Differ Over "Buckets Of Money" Investment System

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Mark Melin
Published on
Updated on
hedge funds SEC filings SEC Enforcement

When an investment system uses the term “Buckets of Money” to describe its tactical portfolio diversification strategy, it is likely to draw heat from regulators. But after cracking down on one such firm, Republican Securities and Exchange Commissioners Daniel Gallagher and Michael Piwowar decided to disagree on the lengths the SEC used to prosecute the case. “Buckets of Money” portfolio re-balancing system goes too far, as does SEC case, say commissioners Advice for would-be financial marketers: Terms such as “Buckets of Money,” “Guaranteed Trades” or “Risk Free Riches” are all terms that can be expected elicit the hair to stand…

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Mark Melin is an alternative investment practitioner whose specialty is recognizing the impact of beta market environment on a technical trading strategy. A portfolio and industry consultant, wrote or edited three books including High Performance Managed Futures (Wiley 2010) and The Chicago Board of Trade’s Handbook of Futures and Options (McGraw-Hill 2008) and taught a course at Northwestern University's executive education program.