SEC

Previously, criteria focused on an investor’s wealth. Now, a broader group has access to investments that include private company offerings and certain private equity funds.

Lower transaction costs can often come with higher expense ratios at the nation’s largest IBD.

It’s the latest dramatic twist in the story of USO, which was at the center of the storm as crude prices plunged earlier this year.

The regulator charged a $1.4 billion hybrid firm over disclosure of its cash sweep arrangements with its clearing firm.

With employees working remotely, firms may need to adapt their procedures to deal with heightened fraud risks outside of company systems.

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.