Results for "mutual funds & ETFs"

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ETFs threaten to 'amplify' systemic risk when liquidity dries up

May 9, 2019

Exchange-traded funds face a growing threat from the very traders who sustain them, according to Moody's Investors Service. The $3.9 trillion U.S. industry could feed systemic risks if market makers, which play a crucial role keeping the price...

'Death by Amazon' gauge exposes gulf between retail ETFs

May 9, 2019

Measuring the impact of Amazon.com on exchange-traded funds just got easier, thanks to a new "Death by Amazon" gauge from CFRA Research. Retailers at risk from the Seattle-based company's expansion underperformed the S&P 500 Index by more than...

Actively managed TDFs are getting edged out

May 9, 2019

Passively managed target-date funds are sucking the life force from their actively managed counterparts. The money flowing into passive TDFs — those that invest primarily in funds that track a broad market index like the S&P 500 — has increased...

Galvin charges Janney with churning high-fee mutual funds

May 7, 2019

Massachusetts Secretary of the Commonwealth William Galvin charged brokerage Janney Montgomery Scott with churning high-fee mutual funds, a signal of continued regulatory interest in share-class violations. In a complaint filed Tuesday, Mr....

Federal appeals court rules against advisers on disclosure failure

May 6, 2019

A federal court recently ruled a Texas investment advisory firm failed to disclose conflicts related to the sale of mutual funds, but it also said it didn't do so willfully — vacating the civil penalties and sending the case back to the Securities...

The longest bull market in history can't shake the skeptics

May 3, 2019

With the S&P 500 Index up more than 16% from the start of the year, the current bull market is officially the longest on record. But the latest mutual fund flow data suggest retail investors might be getting tired of the run. This year through...

BlackRock takes lead in battle of lower-fee ETFs, but winning hurts

May 3, 2019

BlackRock Inc., the world's largest issuer of exchange-traded funds, is winning a battle to attract investors with lower fees, even as success takes its toll. The iShares Broad USD High Yield Corporate Bond ETF, ticker USHY, added a record $368...

Asset managers preparing to launch nontransparent ETFs

May 1, 2019

Financial advisers would be wise to start boning up on the ins and outs of nontransparent exchange-traded funds, because they might be coming soon to a platform near you. For years, asset managers have been trying to quietly nudge the concept...

$1 trillion technology rally keeps on rolling

April 29, 2019

For technology stocks, the superlatives are endless this year. But rather than take profits and run, investors are flooding the space. The sector is outperforming every other industry. In 17 weeks, only one has seen technology finish in the...

Hot IPO market has some advisers seeing red

April 29, 2019

With 2019 shaping up to be one of the hottest years for initial public stock offerings since the late 1990s, financial advisers are often finding themselves in the position of disappointing clients who want their blessing to invest in the latest...

American Funds, Empower forge partnership on 401(k) managed accounts

April 26, 2019

Empower Retirement, one of the largest retirement-plan record keepers, and Capital Group, which sponsors the American Funds investment brand, have forged a partnership on 401(k) managed accounts that experts say offers a blueprint for how asset...

Robo researcher claims SoFi trades triggered capital gains tax hit

April 25, 2019

Customers of Social Finance Inc.'s robo-adviser may incur some unexpected capital gains taxes after the company reallocated managed portfolios using new proprietary exchange-traded funds. SoFi in February announced the coming of two ETFs with...

Muni funds land a year's worth of cash in four months

April 25, 2019

It's only four months into 2019, and already mutual funds that invest in state and local-government debt have raked in more cash than they usually do in a year. Investors added $1.1 billion to such funds in the week ended April 17, the fifteenth...

American Funds veteran sees bright future for defensive active management

April 24, 2019

Joyce Gordon was 19 when Capital Group hired her in 1975 to sit outside the trading room and convert ticket orders into numeric code. She worked her way up through the ranks, going to college at night for 11 years to earn her bachelor's and...

Franklin plans to cut up to 5% of workforce

April 23, 2019

Franklin Resources Inc. plans to cut as much as 5% of its workforce to help save at least $75 million as the fund company faces continued outflows. Franklin, the parent of Franklin Templeton Investments, started with voluntary buyout offers...

When disclosing conflicts of interest, wiggle words like 'may' may not be good enough

April 19, 2019

The Securities and Exchange Commission and journalists have something in common. Both are leery of wiggle words like "may." Editors always prefer that reporters file stories that offer certainty for readers. If they write that something "may"...

Smart money is pouring into fixed income

April 19, 2019

Even with the roaring start to 2019 that has the S&P 500 Index up nearly 16% through Thursday, an increased appetite for fixed-income strategies suggests the emergence of a more conservative mindset among investors. While the first three months...

SEC cracks down on share-class disclosure after self-reporting initiative ends

April 18, 2019

The Securities and Exchange Commission's recent settlement of more than $125 million with 79 investment firms that failed to disclose payments they received for recommending certain mutual funds is not the end of the agency's effort on the issue....

Vanguard sees nearly half of all fund inflows in first quarter

April 18, 2019

If there was any doubt about the growing appeal of low fees and indexed investing, investors drove the point home in the first quarter by plowing $62 billion worth of net flows into funds managed by the Vanguard Group. The quarterly total flowing...

New ETF offers a way to bet on credit volatility

April 17, 2019

The short-volatility complex is coming to corporate debt ETFs. An exchange-traded fund that will test appetite for credit volatility as a standalone asset class arrived this month, smack in the middle of the calmest junk-bond markets since October....

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