SEC

Expenses fell by 20 basis points and risk-adjusted returns climbed 92 bps, according to the study.

Investor advocates, religious groups and proponents of ESG investing argue the changes are a gift to business lobbyists that will muzzle corporate critics.

The broker hasn't been registered in over a decade, and was using clients’ usernames and passwords to make trades in their self-directed brokerage accounts, according to the regulator.

A rising appetite for achieving specific investment objectives, such as sustainable investing, is the main driver behind the projected rise in their popularity.

The former broker allegedly also used his client’s money to pay bills at gas stations, grocery and hardware stores, according to the regulator.

Industry veterans have warned that packaging the loans into funds that are easily accessible could pose a risk to retail investors unfamiliar with collateralized loan obligations.

After an SEC lawsuit, Dan Kamensky now faces criminal charges including securities fraud, extortion and obstruction of justice.

The passively managed fund will be made available to qualified purchasers through family offices, RIAs and other institutions, a person familiar with the matter says.

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.

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.