The agency is particularly interested in conflicts of interest where the adviser is also a broker-dealer or affiliated with a broker-dealer that gets fees from sales of particular share classes.
Complex tracking basket that would be published daily a key component of the product.
Thanks to the Fed, outlook stays positive for stocks
The stockpicker reached a deal to buy out Legg Mason's stake in the entity housing his funds, which he'll continue to run.
Offerings from Fidelity, Columbia, Janus and others look for inflection points of maximum pessimism about a particular stock or industry.
Financial advisers should diversify into credit-risk strategies.
Plus: Public pensions will need lots of taxpayer help, this fund keeps beating the S&P, and the dire state of the golf course business
Plus: Hillary Clinton whiffs on corporate tax reform, most folks can only dream of a nest egg, and the DEA gives the pot lobby the cold shoulder
Gold mining stocks continue to leverage rising gold prices.
Both candidates are promising lots of government spending.
Mutual fund firms move defensively toward active ETFs.
The firms all say in their mid-year outlooks that investors should seek dividends and diversification. Some are betting on bond markets, gold and cash.
As broker-dealers move toward uniform commissions to comply with Labor Department rule, investors could end up paying higher prices than in an unregulated environment. <b><i>(More: <a href="http://www.investmentnews.com/section/fiduciary-focus" target="_blank">The DOL rule from all angles</a>)</i></b>
Plus: Central bankers have altered the financial world, the ABCs of smart-beta due diligence, and seven steps to transforming your advisory practice
Plus: Kitces breaks down inherited retirement assets, new money market rules, and saving for a dream vacation
Plus: The end of hedge fund fees, a mutual fund for the marijuana industry, and the economics of not getting married.
NYSE, Nasdaq and Bats want to address four goals, with an emphasis on reducing and improving procedures around trading halts.
Leaning on technology to streamline the process.
Big contrast with gloomy forecasts from BlackRock, State Street Global Advisers and TIAA.
