Displaying 258 results
E*Trade fined $1 million by SEC
The firm will pay $1 million to settle allegations that it failed to abide by U.S. anti-money-laundering rules.
Bear market funds maul competition
Bear market funds seek positive returns in down markets, so it isn't surprising that they are mauling the competition and generating plenty of investor attention in the process.
New website offers model ETF portfolios
Mr. Weisbrod, president of Weisbrod Financial Services Inc. and Staar Financial Advisors Inc. of Pittsburgh, is launching sfamoney .com next month as part of an effort to provide advisers and retail investors with model ETF portfolios, commentaries and various other planning tools.
ETF hypothetical returns criticized
Hypothetical returns utilized by a host of new exchange traded funds are reigniting a debate about the use of back-tested performance data.
Mutual funds face competition from ETFs, VAs and others
The combined total launches last year of exchange traded funds, variable annuities and closed-end funds surpassed open-end mutual fund launches for the first time, according to Boston-based research firm Cerulli Associates Inc.
Advisers view ETFs as ingenious invention
As an innovation, ETFs have no peer.
Frontier ETFs may expand investors’ horizons
A handful of exchange traded funds are looking to give investors access to frontier markets, or countries that are less developed than traditional emerging markets.
Regulation, courts still transforming insurance products
A combination of regulatory developments and court cases since 1998 has molded annuities and insurance products into what they are today — and that development continues.
A turbulent decade for fund industry started off well
The mutual fund industry, buffeted by volatile markets, unprecedented scandals and new competition, has had a tough time over the past 10 years.
Knocking advisers
One of Major League Baseball's scrappiest leadoff hitters, Lenny Dykstra, has moved from success with the bat to success in the world of investing since retiring in 1996, but he attributes none of his success to working with a financial adviser.
Internet changed financial landscape, spawned reforms
"The marketplace always drives Washington," said Duane Thompson, managing director of the Financial Planning Association's Washington office.
Once a mere curiosity, ETFs now outshine mutual funds
Exchange traded funds were an oddity at the start of the decade.
Eyeing assets, custodians aim to help advisers grow
Competition is stiffening among firms that keep assets under custody — and that situation could lead to cheaper, faster and better business for independent registered investment advisers.
Mutual fund big three will continue to dominate market
In 2018, the mutual fund business will look much like today's, industry experts predict.
Structured market leery of open systems
Open architecture has been slow to come to the structured products market.
Hitting the road with financial advice
The National Association of Personal Financial Advisors will take financial advice on the road starting in September.
Three ETF-of-ETFs are launched
Creating what may be a new product category, Invesco PowerShares Capital Management LLC has launched three exchange traded funds that invest solely in other ETFs.
Russia tempts advisers with equity choices
Russia's eight-plus-year economic expansion has spread into parts of the country's consumer and retail sectors, presenting a potentially new angle for participation among financial advisers and their clients.
Training offered for new exchange traded products
Faced with waves of new exchange traded products, financial advisers are at a loss as to how best to put them to work, a dilemma that is leading product providers to offer more robust educational services.
Moglia to step down as TD’s chief executive
Joe Moglia, credited by industry observers with guiding TD Ameritrade Holding Corp.'s explosive growth over the past seven years, will step down as chief executive in October.
