SEC

While Guinness Atkinson pursues the first full mutual fund-to-ETF conversion, similar moves have begun elsewhere in the fund industry.

During rapid growth, the firm allegedly failed to detect a cascade of red flags.

The number of advisors registering with FINRA has fallen since 2016, as more planners elect a fee-only model.

The firm allegedly didn't disclose its parent company paid a teacher union entity $10,000 a month “for its exclusive endorsement” as its preferred financial services partner, according to the regulator.

If approved, the firm would be able to issue its own ETFs, although they haven’t registered any individual funds yet.

The party’s draft party platform criticizes lax standards implemented by the Trump administration, and vows to strengthen Social Security.

This is the latest case to involve improperly allocating bonds meant for retail customers and instead selling them to other market participants.

“The primary drawback of fewer hedge fund filings is lack of clarity around crowding risk,” strategists from the firm write.

To thwart a multifactor verification system, he once used a victim’s home phone to authorize transactions.

The 4,000-person regulator in March was one of the first federal agencies to tell employees to stay home due to the public health emergency.