It's the latest action in the SEC's long-running campaign to crack down on disclosure and best-execution failures involving 12b-1 fees.
The ARK Transparency ETF gained only $12 million in assets since inception, a fraction of the $9 billion in Wood’s flagship fund.
More than 80 exchange-traded funds tracking single stocks are planned, covering some 37 companies.
The first examples of this new strain of ETF creativity could hit the markets within days, giving day traders another toy and financial advisers another headache.
The exchange-traded fund seeks to invest in companies that create American jobs and will screen out firms that stress political activism.
The debut of the macro opportunities and risk parity strategies paves the way for an expanding alternatives lineup.
The nine ETFs, which have tracked EU-regulated climate transition benchmarks since October, attracted a net $2.7 billion this year as of mid-June.
Vanguard lowered the account minimum for an institutional target-date fund, causing a migration from the retail TDF, leaving those who held onto it in taxable accounts with a big capital gains bill.
The NightShares strategy involves buying the index at the end of the day and selling it every morning.
Key to allocating to funds employing alternative strategies is knowing what to expect and not trying to time investments.
The Nuveen Global Net Zero Transition ETF seeks to decarbonize by engaging with high emitters.
With bonds slumping, a record amount of money is pouring into exchange-trade funds focused on big dividend payouts.
Deducting fees from client portfolios can introduce the punishing long-term consequences of reverse compounding.
The new exchange-traded funds will serve as the underlying components for Putnam's ESG-focused target-date series, in addition to the company's existing Sustainable Leaders ETF and Sustainable Future ETF.
Vanguard's influential 'How America Saves' report shows 401(k) plan participants are facing increasingly complex financial situations and life events.
The restitution settles Finra charges that the firm recommended Class C shares with ongoing fees when more affordable Class A shares were available.
Closed-end funds have emerged as a potential solution for retirees seeking to smooth out their cash flows and in turn soothe their shaken nerves.
The actively managed mutual fund uses both proprietary and third-party ESG ratings.
Madison Avenue Securities didn't disclose or didn't adequately disclose conflicts associated with compensation the firm received from certain advisory client investments.
Increases are one and four basis points; cuts are two basis points. The changes were made to funds with fiscal years ending January 2022.
