Mutual Funds

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MUTUAL FUNDS OCT 04, 2018
Tools of the Trade

Like stocks, ETFs are portfolios of holdings in which shares trade throughout the day—but there are key differences. Explore three levels of ETF liquidity.

By Gillian Albert
BlackRock is the winner and loser in this bond ETF fee fight
ETFS OCT 01, 2018
BlackRock is the winner and loser in this bond ETF fee fight

Cheaper corporate bond exchange-traded fund sees big inflows, while a similar BlackRock fund with higher expenses sees outflows

By Bloomberg
Cash comes into focus as interest rates continue ascent
RIA NEWS SEP 26, 2018
Cash comes into focus as interest rates continue ascent

Yields on money market funds, short-term CDs and other cash accounts have risen as the Fed continues to raise interest rates, and this has big implications for advisers.

By Greg Iacurci
BlackRock, Thomson Reuters launch new diversity and inclusion ETF
ALTERNATIVES SEP 24, 2018
BlackRock, Thomson Reuters launch new diversity and inclusion ETF

Index fund aims to go beyond single issues like gender and race to capture a broader spectrum of ESG initiatives.

By Ryan W. Neal
Bank-heavy ETFs see brisk demand amid rising interest rates
ETFS SEP 24, 2018
Bank-heavy ETFs see brisk demand amid rising interest rates

A steeper yield curve can help banks earn more on the money they lend out.

By Bloomberg
Invesco said to be in talks to purchase OppenheimerFunds
MUTUAL FUNDS SEP 21, 2018
Invesco said to be in talks to purchase OppenheimerFunds

MassMutual's sale of the unit has been estimated to fetch $5 billion.

By Bloomberg
Prime money market funds stage a comeback
MUTUAL FUNDS SEP 20, 2018
Prime money market funds stage a comeback

Higher rates are luring investors back to the funds, which saw a mass exodus just a couple of years ago.

By Bloomberg
Former CEO of AllianceBernstein raises $4 billion to launch fund company
MUTUAL FUNDS SEP 20, 2018
Former CEO of AllianceBernstein raises $4 billion to launch fund company

New fund company will link manager pay and investor fees to fund performance.

By Bloomberg
Advisers struggle with the highs and lows of marijuana investing
EQUITIES SEP 20, 2018
Advisers struggle with the highs and lows of marijuana investing

Now that it has become the investment trend du jour, advisers are cautioning clients not to expect to get rich quick on a product that is still illegal at the federal level.

By Jeff Benjamin
Investors pour money into ETF ahead of index reorganization
ETFS SEP 19, 2018
Investors pour money into ETF ahead of index reorganization

Impending change benefits State Street's communications exchange-traded fund.

By Bloomberg
How to get investors excited about ESG ETFs
ETFS SEP 18, 2018
How to get investors excited about ESG ETFs

Funds focused on socially responsible investing hold just 0.2% of all ETF assets, but there are steps providers can take to rev up interest.

By Eric Balchunas
Advisers warn against fleeing stocks in favor of bonds
EQUITIES SEP 17, 2018
Advisers warn against fleeing stocks in favor of bonds

Flight to quality overlooks the risks to fixed income that come with rising interest rates.

By Jeff Benjamin
SEC penalizes RIA more than $2 million for 12b-1 violations
MUTUAL FUNDS SEP 14, 2018
SEC penalizes RIA more than $2 million for 12b-1 violations

Pennsylvania advisory firm invested client funds in expensive share classes when less costly ones were available.

By Mark Schoeff Jr.
Fidelity CEO says zero-fee funds aimed at attracting new customers
MUTUAL FUNDS SEP 14, 2018
Fidelity CEO says zero-fee funds aimed at attracting new customers

Johnson says way to prosper in financial services is 'by building relationships.'

By Bloomberg
How do you spell investor relief in a bear market? E-T-F
ETFS SEP 13, 2018
How do you spell investor relief in a bear market? E-T-F

The nine-year-old bull market is giving some investors the jitters, but the ETF industry is trying to calm their fears.

By John Waggoner
Fidelity launches two more zero-fee funds
MUTUAL FUNDS SEP 13, 2018
Fidelity launches two more zero-fee funds

One fund will track an index of large-cap companies and the other an index of midsize and small firms.

By Bloomberg
Cadaret Grant punished for failure to supervise brokers selling complex products
ETFS SEP 11, 2018
Cadaret Grant punished for failure to supervise brokers selling complex products

Disgorgement and penalties in SEC case total $938,194; Finra imposes $800,000 fine.

By Mark Schoeff Jr.
Finra fines Citigroup $100,000 for overcharging clients
MUTUAL FUNDS SEP 10, 2018
Finra fines Citigroup $100,000 for overcharging clients

Investors placed in the wrong mutual fund share classes were overcharged by more than $260,000.

By Jeff Benjamin
A market sell-off could mean more 401(k) lawsuits
OPINION SEP 10, 2018
A market sell-off could mean more 401(k) lawsuits

Negative returns and fiduciary risk are positively correlated for 401(k) fiduciaries.

By Aaron Pottichen
Slow down! Lessons from a flash crash
EMERGING MARKETS SEP 08, 2018
Slow down! Lessons from a flash crash

Just because an ETF allows investors to trade immediately doesn't mean they should.

By John Waggoner