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New information FINRA is exploring adding to the BrokerCheck system could include the reason for and comments related to a brokers termination as well as scores on industry qualification exams.
February 23 -
Affluent retail investors are pulling assets away from traditional mutual funds in favor of exchange-traded funds and other alternatives, resulting in significant market consolidation, according to new findings by Cogent Research.
February 23 -
Cove Street Capital is sponsoring its first mutual fund, the CSC Small Cap Value Fund, which it begin managing on Jan. 27. The funds former investment manager was City National Asset Management, Inc.
February 23 -
Registered investment advisory firm Concert Wealth Management is getting set to hire about 40 new financial advisors this year following its hiring of veteran Merrill Lynch financial advisor Brad Stratton earlier this month.
February 23 -
Affluent retail investors are pulling assets away from traditional mutual funds in favor of exchange-traded funds and other alternatives, resulting in significant market consolidation, according to new findings by Cogent Research.
February 23 -
Fidelity Investments reported strong sales growth last year of defined contribution plans to small and midsized employers in 2011.
February 23 -
The capital markets industry will increase its spending 8.5 percent a year on technology that combats financial crimes, through 2015.
February 23 -
Exchange-traded fund developer Invesco PowerShares Capital Management plans to list two ETFs that will give investors access to what it calls high-beta strategies, covering the emerging and international developed markets.
February 23 -
Due to internal company limits on the number of exchange traded notes it can have circulating in securities market, Credit Suisse said it has temporarily suspended issuance of the high volatility product VelocityShares Daily 2x VIX Short-Term ETNs.
February 23 -
Bond behemoth PIMCO is making a push into the equities space with the hire of Geoffrey Johnson as an executive vice president and global equity portfolio manager. He will begin with the firm in April and will be based in the Newport Beach, Calif. office.
February 23
