Portfolio

FINRA says the brokerage didn't have enough controls in place to detect that Jared Weinryt had breached his $116 million trading limit as he made overnight bets on so-called futures.

Midsized RIA firms are the new sweet spot for managers of mutual funds and ETFs, according to a new report from Cerulli Associates.

As the trend toward independence continues, the opportunities raise questions from those advisors who are considering making the move. Dynasty Financial Partners' Shirl Penney provides some answers.

The tech-laden Nasdaq added 13.95 points Wednesday to finish at 3030.93 but the Dow Jones Industrial Average and S&P 500 lost 7.36 points and 1.60 points, respectively.

BlackRock remains the behemoth in ETF/ETP assets under management, with a global market share of over 38% and a U.S. market share of more than 40%.

Investors poured $7.2 billion into bond funds last week, while pulling $3.6 billion from funds that invest in U.S. stocks.

Advisors who move aggressively into fee-based business end up doing much better than their transaction-based colleagues, with more assets, a higher return on those assets and more revenues, according to a new report.

Victory Capital Management has selected Citi Transaction Services for a range of middle office outsourced services.

Newfleet Asset Management has named Frank Ossino a senior portfolio manager of the Virtus Senior Floating Rate Fund.

RIA in a Box's registration maintenance service focuses on turning down an RIA's panic level from surprise regulatory visits.