Displaying 32 results
Repeat flubs at Stifel over complex products: Finra
Stifel broker-dealers agree to fines and restitution of almost $3 million as a result of shortcomings in supervision and compliance related to sales of non-traditional exchange-traded products.
Vanguard’s first active bond ETF has ‘disruption’ written all over it
The low-cost provider is planning a cash-alternative exchange-traded fund whose cost is about half that of popular ETFs in the category.
DFA shifting $26 billion of mutual funds into ETFs
Quant giant Dimensional Fund Advisors has laid out a timeline for converting funds into exchange-traded funds.
SEC’s amped-up oversight of complex financial products expected to continue under Biden
Agency says advisers, brokers must apply ‘heightened scrutiny’ to sales of risky ETPs
SEC fines five firms $3 million over unsuitable exchange-traded volatility products
American Portfolios, Benjamin Edwards, Royal Alliance, Securities America, Summit Financial to pay
New asset manager tests adviser appetite for targeted ETFs
Gabriel Hammond's latest venture is setting its sights on private markets
Green investments rally ahead of potential ‘blue wave’ election
Targeted ETF strategies are up more than 80% so far this year as Biden gains steam
New bond ETF offers weekly payouts
TGIF is the ticker for the exchange-traded fund, which will distribute cash each Friday
More active ETFs are launching than passive
So far this year, 68 active exchange-traded funds have started trading, compared with 63 passive ones
ETF that paid people to invest has started to charge
The exchange-traded fund industry's fee war may be running out of steam
Want to short high-yield debt? Here’s an ETF for you
Tabula Investment Management launched an exchange-traded fund that lets investors bet against high-yield debt issued by North American companies
ETNs face crisis of confidence
Credit Suisse’s decision to delist nine exchange-traded notes worth nearly $3 billion points to an existential crisis in this sector of the ETF market
Credit Suisse to delist exchange-traded note that’s up 200% this year
Bank is axing a total of nine ETNs, most of which are leveraged
Oil spasms send foundering ETF into series of unusual steps
The United States Oil Fund had to suspend the issuance of new shares after losing a third of its value in two days
New ETF offerings dried up amid March volatility
But April may be livelier, with American Century announcing that the first active nontransparent ETFs will begin trading Thursday
ETF price war sees BNY Mellon launch first no-fee bond fund
The asset manager is also coming out with a zero-fee large cap equity fund
SEC fines Wells Fargo $35 million for unsuitable sales of complex products
Firm recommended that clients buy, hold single-inverse ETFs in retirement accounts despite previous Finra penalty
Berkshire dips toe into ETF market
In the fourth quarter, the company made investments from its huge pile of cash in two exchange-traded funds
Franklin-Legg Mason combo could produce nontransparent ETF powerhouse
Will a majority stake in Precidian Investments put the merged firms on the ETF map?
American Century lifts the curtain on nontransparent ETFs
The asset manager has high hopes for the first two ETFs it's preparing to launch with the unique new wrapper
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