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Finra bars IFS Securities executive linked to reported $10 million trading loss

September 26, 2019

The IFS Securities Inc. executive at the center of a bond trade that resulted in a reported $10 million loss for the firm has been barred from the securities industry by the Financial Industry Regulatory Authority Inc. Keith Wakefield, the former...

The ETF market just got a shot in the arm from D.C.

September 26, 2019

Wall Street's main watchdog is cutting back regulatory red tape for exchange-traded funds, potentially triggering faster growth for the $4 trillion market. After more than a decade of wrangling, the Securities and Exchange Commission said Thursday...

Fidelity brings ESG portfolios to advisers

September 25, 2019

Fidelity Investments is turning to Ethic, a digital asset manager providing sustainable investing portfolios, to help financial advisers offer environmental, social and governance investing to clients. Ethic will plug into Fidelity's brokerage...

Big capital-gains tax hit on horizon for mutual fund investors

September 25, 2019

Some investors in actively managed mutual funds can expect to incur big capital-gains tax bills this year, as continued outflows and lofty returns combine to stymie those holding funds in taxable accounts. Assets have continued to bleed out...

Experts warn SEC about perils of loosening private offering rules

September 25, 2019

Some experts are warning the Securities and Exchange Commission that loosening the rules on purchases of private investments could hurt the elderly and retirement savers, while alternatives industry organizations are touting their portfolio...

Massachusetts fines RIA $225,000 over conflicted advice

September 24, 2019

Strategic Planning Group Inc., a Wellesley, Mass.-based registered investment adviser, has been censured and fined $225,000 by state regulators over conflicted investment advice the firm offered its clients. The RIA's principals, David Alexander...

Three Roth conversion traps that should be avoided

September 24, 2019

Roth conversions can add a lot of value to a retirement income plan. Advisers can control when Roth conversions take place, and therefore can be strategic and do conversions in years when tax rates for a particular client might be lower than...

'Get Paid to Trade' app launches at FinovateFall

September 24, 2019

Dozens of financial technology startups and over a thousand other financial services executives, venture capitalists, regulators and industry analysts gathered this week at the Marriot Marquis hotel in New York City's Times Square for FinovateFall,...

John Rogers: Industry has 'gone backwards' on diversity and inclusion

September 24, 2019

John W. Rogers Jr., chairman of Ariel Investments and a pioneer of diversity and inclusion in the financial services profession, issued a reality check for industry participants Tuesday, saying the industry has backtracked rather than improved...

Wealthiest families are stockpiling cash

September 24, 2019

Rick Stone, a former partner at Cadwalader Wickersham & Taft, sees treacherous times ahead for family offices trying to deploy cash. The head of Stone Family Office said that he doubts the bond market will provide any real return over the next...

5 misimpressions drive baseless warnings for mutual fund industry

September 23, 2019

The mutual fund industry has supposedly reached a significant tipping point: Assets in U.S. index mutual funds and exchange-traded funds have surpassed those in U.S. actively managed funds, according to preliminary data from Morningstar. The...

A gap in the high-tech market

September 20, 2019

The digital revolution hasn't come to all financial advisers equally. Firms serving middle-income and upper-middle-income investors have seen theirs cups runneth over with software offerings that do everything from performance of back-office...

Ultra-rich want wealth to make a difference

September 20, 2019

The Global Impact Investing Network estimates the current size of the impact-investing market is at least $500 billion, but the potential size of the market is much bigger — as much as $269 trillion according to a recent report from the International...

Real estate always in style for the rich

September 20, 2019

Whether it's buying a waterfront home, a publicly traded real estate investment trust, an apartment complex or investing in a trophy high-rise building, wealthy Americans need and want real estate exposure. The ability of real property to provide...

Climate change could interfere with retirement readiness

September 20, 2019

A new global survey about retirees' well-being paints a bleak picture for Americans hoping for an old age free of financial stress. A separate report on the impact of global warming makes it even worse. The 2019 Global Retirement Index released...

Are 401(k) advice fees headed to zero?

September 19, 2019

Vanguard Group has thrown down the gauntlet on costs for 401(k) managed accounts. InvestmentNews reported Wednesday that the asset manager plans to launch a digital-only financial planning and automated investing service for 15 basis points....

Ariel's Mellody Hobson says women, minorities should 'speak their truth' instead of trying to blend in

September 19, 2019

In July, Mellody Hobson was promoted to co-chief executive officer of Ariel Investments in Chicago, a company she initially joined as a college intern in 1989 and has served as president since 2000. Ms. Hobson, 50, takes seriously her status...

Proposal for Bitcoin ETF withdrawn by Cboe, VanEck SolidX

September 18, 2019

Cboe Global Markets' BZX exchange has withdrawn a proposal to the Securities and Exchange Commission to list and trade shares of a Bitcoin investment vehicle. A proposed rule change that would have allowed BZX to list and trade SolidX Bitcoin...

Vanguard pilots digital-only financial planning and advice product

September 18, 2019

Vanguard Advisers have filed an initial disclosure brochure with the Securities and Exchange Commission signaling the company's plan to launch a new, digital-only financial planning and automated investing service it calls Vanguard Digital Advisor....

Robert Moore is back. And he's focused on REITs

September 18, 2019

After leaving as the CEO of Cetera Financial Group earlier this year for undisclosed health reasons, Robert "R.J." Moore has returned to the financial services industry. In his latest venture, Mr. Moore has launched an investment management...

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