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RIA enforcement cases double: NASAA
State regulators brought almost twice as many enforcement actions against registered investment advisory firms last year as in…
Stock market correlation leads to ‘closet’ indexing
Maybe American Funds Growth Fund of America should be renamed American Funds Index Fund of America. The $115 billion fund, the largest equity mutual fund in the world, is tracking its benchmark more closely than ever before — and it is not alone.
Why Bruce Berkowitz’s bullish AIG stance is paying off
The following is excerpted from the July issue of the No-Load Fund Analyst newsletter published by The Litman…
With NASAA president Heath Abshure: ‘We also need to be active in drafting legislation’
Arkansas Securities Commissioner Heath Abshure, the newly elected president of the North American Securities Administrators Association Inc., last…
Supervision is lacking at B-Ds, NASAA says
State regulators are seeing fewer problems with variable annuity sales but continue to see violations in some areas…
Top rep in AIG B-D network joins Sterne Agee
A star financial adviser for Royal Alliance Associates Inc., who courted controversy last year when she criticized the…
NASAA head bashes idea of SRO – in Finra’s backyard
A state securities regulator, speaking at a conference Tuesday, was not bashful about slamming proposed legislation — even…
American Funds, T. Rowe win big in oil M&A deal
American Funds and T. Rowe Price Group Inc. were the big mutual fund winners in Chinese offshore oil…
A little help: American Funds looks to Guardian to help boost performance
Flagging fund giant turns to researchers at sister firm, Capital Guardian, to boost its equity performance
American looks to Guardian to help performance
American Funds is getting a hand from Capital Guardian, its institutional money management sibling, as parent company Capital…
AIG network seen as most likely buyer of Woodbury Financial
American International Group Inc. has emerged as the likely buyer of Woodbury Financial Services Inc., an independent broker-dealer…
‘Old load’ image a load for American Funds
Brand perception is keeping the fund giant from making inroads with RIAs, survey shows; 'hard to change people's thinking.'
American Funds’ 529 plan catching up with the times
The addition of college target date funds will give American Funds' $33 billion CollegeAmerica 529 Savings Plan a similar menu of options as other 529 plans, the majority of which already offer advice-embedded products.
American Funds taking its talent to YouTube amid ‘difficult time’
The normally low-profile fund family plans to bring its portfolio managers to the small screen
34 months and counting: American Funds’ outflow woes roll on
It's now almost three years since the fund giant has recorded net inflows
RIAs registered with multiple states get more time for help
RIA firms that must switch from Securities and Exchange Commission to state oversight this year have another month…
Advisers scratch their heads over changes at American
Is American Funds losing its touch with financial advisers? That is the question that some advisers are…
Pershing adds huge 529 plan to its platform
Pershing LLC is making it easier for its advisers to open college savings plans for clients, starting with…
American Funds is the biggest loser in shift toward passive investments
More than any other mutual fund company, American Funds is bearing the brunt of investors' latest infatuation with passive investing.
ING cuts American Funds loose as fixed-income subadviser
Will bring in its own team as replacement; another loss for giant fund firm
