Portfolio

If you want to ace your examinations by the U.S. Securities and Exchange Commission, remember these three phrases: fund governance, fraudulent activities and performance and advertising.

Advisors feel that social media is a "wise use" of asset managers' time and resources and just over one-third believe asset management firms are "not yet seeing the value" of social media, according to a study by American Century Investments.

On April 20, Nuveen funds earned Morningstar Negative ratings.

The firm will specialize in planning around the investment, retirement and insurance needs of the area’s working professionals and families nearing retirement.

On April 20, SS&C CEO said he is 'Very confident' now of GlobeOp takeover.

The nascent active exchange-traded fund space, currently populated by PIMCO, AdvisorShares and Guggenheim Partners, may soon get a new entrant.

Securities America, and other firms of varying sizes, are offering comprehensive support programs to lure new advisors, many of whom are trading commission-based firms for independence.

Institutions say they will sharply reduce their use of money market funds if the Securities and Exchange Commission (SEC) adopts either a net asset value float, a redemption holdback or capital buffer requirements on the industry, according to a report released by the Investment Company Institute.

The investment bank and brokerage said its bond trading revenue rose compared with last year's first quarter, stripping out an accounting quirk, even as its chief rival, Goldman Sachs Group Inc, posted a decline.

Trading on U.S. equity markets averaged 6.6 billion shares a day in March, according to Tabb Group. That was down from 6.9 billion in February.