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One Lifetime Ban is Not Enough for the SEC
The commission's barring of one advisor follows similar action by state authorities, indicating that regulators are coordinating their enforcement activities.
The new proposals may end up being the best thing that ever happened to ETNs. Read More »
The biggest U.S. mutual fund provider cuts expense ratios for 35 individual mutual fund shares, including 12 Vanguard target-date funds. Some cry fee compression. Read More »
Years of losses can take a toll on a client's psyche; they can also create buying opportunities. Read More »
If mutual funds in 401(k) plans underperform yet charge hefty fees, participants can take action; Plus, President Obama plans to push new rules making it easier for small businesses to offer 401(k) plans. Read More »
The $15 trillion rout in global equity markets since May is reawakening the lure of gold for investors seeking safety. Read More »
Fund flows over the course of a number of years now have been pointing decidedly in favor of passive strategies, he says, be they index, mutual funds or ETFs. Read More »
By the end of 2015, Vanguard's Personal Advisor Services counted approximately $31 billion in total assets under management, the firm says, with $21 billion from new money. Read More »
Here's what mutual fund clients stand to lose when they tap their investments during a down market; Plus, how to get big company 401(k) benefits at small firms. Read More »
The acquisition of Jemstep follows the steps of Invesco’s competitors to buy or build a digital platform. Read More »
Energy sector declines have shown they can put the brakes on dividend-paying stocks, which over the long term have outperformed those that don't. Read More »
How clients can tell ETFs which avoid taxable distributions from those that don't. Plus, the advantages of inheriting mutual funds in taxable accounts over selling them, and smart ways for setting up a scholarship fund. Read More »
These ETPs are extreme outliers. As measured by one-year returns, one set of funds and notes has experienced amazing rebounds, while another group has painfully stumbled. Read More »
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