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Bitcoin hits 3-month low as sentiment takes knock from wave of monetary tightening
ALTERNATIVES SEP 19, 2022
Bitcoin hits 3-month low as sentiment takes knock from wave of monetary tightening

Investors are bracing for volatility from the jumbo Federal Reserve interest-rate hike expected Wednesday to fight price pressures.

By Bloomberg
New ETF centers on carbon trading futures
ETFS SEP 16, 2022
New ETF centers on carbon trading futures

The Carbon Strategy ETF, which is listed on NYSE Arca, will hold futures contracts on carbon allowances in emissions trading systems in Europe and North America.

By Emile Hallez
ETFs that track stock trades of members of Congress planned
MUTUAL FUNDS SEP 16, 2022
ETFs that track stock trades of members of Congress planned

A pair of exchange-traded funds would analyze the financial disclosure of lawmakers from both parties and their spouses and dependent children.

By Bloomberg
SEC slaps B-D with $100,000 penalty for not registering as muni adviser
FIXED INCOME SEP 15, 2022
SEC slaps B-D with $100,000 penalty for not registering as muni adviser

Chicago’s Loop Capital Markets helped an unnamed Midwestern city buy fixed-income securities.

By InvestmentNews
J.P. Morgan adds three active ETFs with ESG themes
RIA NEWS SEP 14, 2022
J.P. Morgan adds three active ETFs with ESG themes

The firm's other active sustainable exchange-traded fund, Climate Change Solutions, launched in 2021.

By Emile Hallez
Clients want advice about their Medicare options
RETIREMENT PLANNING SEP 14, 2022
Clients want advice about their Medicare options

Most advisers agree they should be providing health care advice, but they say they need better tools.

By Mary Beth Franklin
Open enrollment tip: Don't just go with the group life insurance, get individual as well
LIFE INSURANCE AND ANNUITIES SEP 14, 2022
Open enrollment tip: Don't just go with the group life insurance, get individual as well

Bob Gaydos, CEO of Pendella, explains why employees need to focus on individual life insurance coverage.

By Gregg Greenberg
AllianceBernstein enters ETF arena with its first set of active ETFs
MUTUAL FUNDS SEP 14, 2022
AllianceBernstein enters ETF arena with its first set of active ETFs

The asset manager's initial lineup includes the Ultra Short Income and Tax-Aware Short Duration Municipal ETFs.

By Bloomberg
Investors see inflation as top concern
RIA NEWS SEP 13, 2022
Investors see inflation as top concern

Research from State Street Global Advisors exposes a generational divide when it comes to seeking out financial advice.

By Jeff Benjamin
Single-stock ETFs take the field but many yellow flags are falling
RIA NEWS SEP 12, 2022
Single-stock ETFs take the field but many yellow flags are falling

Regulators, analysts and financial advisers worry the easy access to enhanced performance will hurt unsophisticated investors.

By Jeff Benjamin
Advisers to fill portfolio chinks with fixed income and alts 
ALTERNATIVES SEP 12, 2022
Advisers to fill portfolio chinks with fixed income and alts 

While advisers may not expect anywhere near the market growth over the next year that investors enjoyed in 2021, many advisers believe they’ve already seen the bottom this year.

By Devin McGinley
Fintech Bytes: Cetera using Broadridge's new tech, Orion reorganizes
ALTERNATIVES SEP 09, 2022
Fintech Bytes: Cetera using Broadridge's new tech, Orion reorganizes

A roundup of the week's fintech news includes Cetera's adoption of Broadridge's new digital communications tool, Orion's reorganization and Morningstar's attempt to make sustainable investing more engaging.

By Ryan W. Neal
Finra cuffs another broker-dealer over GPB sales
ALTERNATIVES SEP 09, 2022
Finra cuffs another broker-dealer over GPB sales

The actions outlined in Finra settlement with Sanctuary predate Sanctuary’s acquisition of David A. Noyes, a company spokesperson notes.

By Bruce Kelly
As rate hikes slow mortgage refinancing, ETF rides to a 27% gain since January
RIA NEWS SEP 09, 2022
As rate hikes slow mortgage refinancing, ETF rides to a 27% gain since January

The FolioBeyond Rising Rates ETF, which launched in October, is gaining appeal for advisers as it nears the $100 million mark.

By Jeff Benjamin
Integrity extends summer buying spree with Heartland purchase
LIFE INSURANCE AND ANNUITIES SEP 08, 2022
Integrity extends summer buying spree with Heartland purchase

Dallas-based Integrity is once again adding to its footprint with the the acquisition of Kansas City, Missouri-based Heartland.

By Gregg Greenberg
SEC's Gensler continues push to crack down on crypto rule-breakers
ALTERNATIVES SEP 08, 2022
SEC's Gensler continues push to crack down on crypto rule-breakers

In a speech, the SEC chair repeated his demand that crypto exchanges, brokers and attorneys in the digital coin industry comply with securities rules.

By Bloomberg
Oppenheimer loses Finra arbitration of $36.7 million stemming from alleged Ponzi
ALTERNATIVES SEP 07, 2022
Oppenheimer loses Finra arbitration of $36.7 million stemming from alleged Ponzi

The investors cited a violation of Georgia's RICO law to boost their award against Oppenheimer.

By Bruce Kelly
Big change is coming for 401(k)s
OPINION SEP 06, 2022
Big change is coming for 401(k)s

The move to provide guaranteed lifetime income products in defined-contribution plans will transform retirement planning.

By Mitchell Shames
Finra arbitrators award $468,126 to customers who invested in UBS YES product
ALTERNATIVES SEP 02, 2022
Finra arbitrators award $468,126 to customers who invested in UBS YES product

But a different case centering on the complex option strategy was dismissed last month by a separate panel of arbitrators.

By Mark Schoeff Jr.
Global bonds step into bear market as central banks seek to quash inflation
FIXED INCOME SEP 02, 2022
Global bonds step into bear market as central banks seek to quash inflation

Rapid interest-rate hikes deployed by policy makers in response to soaring inflation have brought to an end a four-decade bull market in bonds.

By Bloomberg