Results for "mutual funds & ETFs"

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Taxes are one thing – not the 'only' thing

September 27, 2019

Tax Day has come and gone. As advisers to high-net-worth individuals and families, tax planning is a year-round priority. HNW clients have wide-ranging objectives that include everything from transferring large amounts of money to younger generations,...

Hunt for tax havens fuels $47 billion stampede into muni debt

September 27, 2019

Municipal bonds have never been at risk of becoming the next big thing for bubble-chasing investors, like crypto currencies or tech IPOs. But 2019 has been marked by an unusually large stampede into the $3.8 trillion market for state and local...

Invesco seeks SEC approval for ETF designed to thwart copycats

September 26, 2019

Invesco wants to start a new type of exchange-traded fund that conceals its portfolio. The actively managed ETFs would rely on Invesco's own, proprietary design, according to regulatory filings from the $1.2 trillion money manager. Unlike conventional...

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...

What is keeping negative bond yields from reaching the U.S.?

September 25, 2019

For the most part, U.S. fixed-income investors shouldn't be too concerned about the negative bond yields seen overseas reaching domestic markets. But even if the U.S. bond market avoids the negative-yield trend, as is expected, financial advisers...

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...

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...

SoFi refunds investors for tax hit caused by proprietary ETFs

September 23, 2019

When investors incurred capital gains taxes because Social Finance Inc. replaced Vanguard funds with proprietary ETFs in some portfolios managed by its robo-adviser, the company defended the move as a regular change relating to client investment...

Michigan RIA to pay $2.5 million for mutual fund conflicts

September 20, 2019

Sigma Planning Corp., the RIA arm of a Michigan independent broker-dealer, has reached a settlement with the Securities and Exchange Commission in which the firm will pay $2.5 million in fines and restitution to clients after it faced charges...

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....

State Street fires another salvo in the ETF fee war

September 19, 2019

Facing two years' worth of proof that investors are becoming increasingly cost-conscious, State Street Global Advisors is converting seven exchange-traded funds to fit into its suite of low-fee ETFs. The move is the latest by an ETF provider...

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...

Goldman uses JPMorgan's own tactics against it in ETF battle

September 17, 2019

Goldman Sachs is throwing everything but the kitchen sink at boosting its share of the $4 trillion U.S. market for exchange-traded funds — even mimicking one of its Wall Street foes. The bank is adopting an approach pioneered by JPMorgan Chase,...

BlackRock, Vanguard accused of opposing shareholder efforts on climate

September 17, 2019

BlackRock and the Vanguard Group, the two largest asset managers, are falling short as shareholders in combating the risks of climate change, according to nonprofit group Majority Action. The group examined the proxy voting of 25 of the top...

The chief ETF cost that advisors often overlook

September 16, 2019

If there is one hallmark of exchange traded funds most advisors agree on, it's the investment vehicle's low cost. That cost is typically measured by an ETF's expense ratio, a number that has become the de facto ETF yardstick. In fact, many advisors...

SEC continues to see problems with advisers selecting too-expensive share classes

September 13, 2019

More than 18 months after the Securities and Exchange Commission began a crackdown on inadequate mutual fund payment disclosures, the problem doesn't seem to be going away. In February 2018, the agency implemented an enforcement program encouraging...

How gold could replace bonds as a portfolio diversifier

September 11, 2019

Instead of trying to navigate the freewheeling price of gold over various market cycles, financial advisers might be better served by focusing on the precious metal's lack of correlation with other investments. That's the basic premise of a...

When strong performance sends ETF investors to the exits

September 6, 2019

In the latest sign of growing investor caution, strong performance is not enough to keep assets from moving out of some focused exchange-traded funds. For example, the $105 million Amplify Traditional Data Sharing ETF (BLOK) is up 21.5% from...

VanEck, SolidX offer ETF-like Bitcoin product

September 4, 2019

VanEck Securities Corp. and SolidX Management, a duo that have unsuccessfully petitioned the Securities and Exchange Commission for over a year to approve an exchange-traded fund that invests in Bitcoin, have found a workaround for some large...

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