Investing

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Why the 'one bad broker' rule matters
ALTERNATIVES APR 07, 2021
Why the 'one bad broker' rule matters

One bad broker making big bets or selling lousy or misunderstood products can damage or even ruin a firm. Are firms doing enough to keep those brokers and high-risk behaviors in check?

By Bruce Kelly
States picking up annuity best-interest standard
RETIREMENT PLANNING APR 07, 2021
States picking up annuity best-interest standard

Recently, Nebraska, Idaho and North Dakota passed rules matching NAIC’s standard, joining other states on the roster: Arkansas, Arizona, Delaware, Iowa, Michigan and Rhode Island.

By Emile Hallez
FSI to offer lower-cost health insurance plan to members
RETIREMENT PLANNING APR 07, 2021
FSI to offer lower-cost health insurance plan to members

The trade group says its members could save as much as 50% over the cost of health coverage on the open market.

By InvestmentNews
Ex-GPB executive gets 9-month sentence
ALTERNATIVES APR 07, 2021
Ex-GPB executive gets 9-month sentence

Former chief compliance officer Michael Cohn was also fined $50,000. A former Securities and Exchange Commission examiner, he was charged in October 2019 with obstruction of justice relating to an SEC investigation of GPB.

By Bruce Kelly
Grayscale ‘committed’ to making biggest crypto fund an ETF
ETFS APR 06, 2021
Grayscale ‘committed’ to making biggest crypto fund an ETF

The company says it will convert its $39 billion Grayscale Bitcoin Trust into an exchange-traded fund as soon as U.S. regulators allow.

By Bloomberg
4 life insurance and retirement trends to watch
OPINION APR 06, 2021
4 life insurance and retirement trends to watch

We can learn from the last year and look back on it as a catalyst to achieve long-term, sustainable and far-reaching positive change.

By Kevin Hogan
Advisers plan more annuity recommendations amid the pandemic
RETIREMENT PLANNING APR 05, 2021
Advisers plan more annuity recommendations amid the pandemic

Data from InvestmentNews Research and an annuities webcast show that more advisers are interested in the products.

By Emile Hallez
Purshe Kaplan racks up $1.6 million settlement
ALTERNATIVES APR 05, 2021
Purshe Kaplan racks up $1.6 million settlement

Since 2017, the firm has been on the hook for $16 million in legal settlements and restitution to clients, with the lion's share stemming from one broker's sale of alternative investments to a Native American tribe in Michigan.

By Bruce Kelly
ETFs see record inflows of $250 billion in first quarter
ETFS APR 05, 2021
ETFs see record inflows of $250 billion in first quarter

A surge into equities fueled the record, but bond ETFs also grew, State Street Global Advisors reports.

By InvestmentNews
Morningstar analyst ratings hit another speed bump
MUTUAL FUNDS APR 02, 2021
Morningstar analyst ratings hit another speed bump

Errors in computer-generated reports on mutual funds lead to a classic Twitter dust-up in which a disgruntled fund manager challenged the company's analysis of his funds.

By Jeff Benjamin
Goldman Sachs is getting into Bitcoin — who’s next?
ALTERNATIVES APR 01, 2021
Goldman Sachs is getting into Bitcoin — who’s next?

Goldman Sachs enters the race to offer wealth management clients access to Bitcoin following Morgan Stanley. Which wirehouse could be next?

By Nicole Casperson
Latest levered ETFs offer triple market performance — with a catch
EQUITIES APR 01, 2021
Latest levered ETFs offer triple market performance — with a catch

The flipside of the new Innovator Capital Management products is the performance is capped and they can be more expensive than some of the cheaper indexed options.

By Jeff Benjamin
In-plan income is key to retirement security
RETIREMENT PLANNING MAR 31, 2021
In-plan income is key to retirement security

Not having a retirement income solution within a DC plan is like having the pilots on a commercial flight parachute off midflight, forcing passengers to land the plane.

By Fred Barstein
Goldman close to offering Bitcoin to wealth management clients
ALTERNATIVES MAR 31, 2021
Goldman close to offering Bitcoin to wealth management clients

The firm plans to begin rolling out digital assets to clients in the second quarter.

By Bloomberg
Wall Street banks summoned by regulators over Hwang’s blowup
ALTERNATIVES MAR 30, 2021
Wall Street banks summoned by regulators over Hwang’s blowup

The Securities and Exchange Commission summoned the banks for hasty meetings on what triggered the forced sale of more than $20 billion of stocks linked to Hwang’s Archegos Capital Management.

By Bloomberg
Digital currencies jump as Visa pilots crypto settlement
ALTERNATIVES MAR 29, 2021
Digital currencies jump as Visa pilots crypto settlement

Traditional financial companies are beginning to embrace cryptocurrencies and blockchain projects more than a decade after the creation of Bitcoin in 2009. That comes even as some remain skeptical of mainstream adoption.

By Bloomberg
Vanguard 529 change in Nevada overallocated some in equities
MUTUAL FUNDS MAR 26, 2021
Vanguard 529 change in Nevada overallocated some in equities

The error occurred in October, when the Vanguard 529 Plan switched from age-based portfolios to target-enrollment portfolios, the company said in an email.

By Emile Hallez
State Street cuts ETF fees, ramping up race to zero
ETFS MAR 26, 2021
State Street cuts ETF fees, ramping up race to zero

The company's announcement that it was slashing fees on two of its bond funds came just a day after BlackRock lowered fees on its lineup of style ETFs.

By Bloomberg
Bond traders are terrible at timing Fed rate hikes
FIXED INCOME MAR 25, 2021
Bond traders are terrible at timing Fed rate hikes

In late 2008, amid the financial crisis, traders expected several Fed hikes in the following couple of years, but central bank officials didn't tighten until 2015.

By Bloomberg
Fidelity applies for Bitcoin ETF
ALTERNATIVES MAR 25, 2021
Fidelity applies for Bitcoin ETF

The company's proposed exchange-traded fund would track the cryptocurrency using pricing from U.S.-based exchanges including Bitstamp, Coinbase and Gemini.

By Bloomberg