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The Securities and Exchange Commission has granted exemptive relief for iShares’ registration to offer actively managed equities and fixed income exchange-traded funds, which it filed nearly a year ago.

Robert M. Jaffe has been ordered to pay $1.1 million plus interest to Turbo Investors LLC.

There are a lot of benefits in unconstrained, global, multi-sector investing.

The Financial Planning Coalition has called on Congress to support the Securities and Exchange Commission in establishing a fiduciary standard of care for broker-dealers.

Despite volatility in the municipal market, sales of individual tax-free bonds to retail investors have been brisk even as cash withdrawals from muni mutual funds are still high, experts say.

Fed Chairman Ben Bernanke said the central bank required more time to review the more than 11,000 comment letters it's received on its interchange proposal issued in December.

A Federal Reserve decision that will let many banks pay dividends again is another sign that the equity markets have returned to health, and it likely will stoke investor demand for financials, according to Mary Ann Deignan, head of equity capital markets in the Americas for UBS.

This year's ICI Mutual Funds and Investment Management Conference wraps up today. So let's take a walk down memory lane.

FSC credited Schafly with stabilizing and accelerating advisor retention.

PALM DESERT, Calif. -- Back in 2007, no one talked about systemic risk. Now, the term “systemic risk” is on everyone’s minds. But defining it has not come out of the constant attention paid to it now.

TIAA-CREF has committed $1 billion in seed capital to Covariance Capital Management, which will start investing in the third quarter.

Advisors are essentially small business owners, whose passion for their profession can easily consume everything else in their lives.

The combination of the catastrophic earthquake and tsunami in Japan and sustained instability and violence in the Middle East are taking their toll on U.S. and international markets and compelling large financial institutions to reassess their short- and long-term investments as they await the fallout.

Continued poor rate spreads between CDs and annuity yields pushed bank-sold annuity sales last year to their lowest level since 2000 and off more than 25% from what was widely viewed as a lackluster 2009.

An uptick in investor inflows and strong performance helped push the Neuberger Berman Equity Income Fund over the $1 billion milestone for the first time.

It may have taken almost 18 years for the combined assets of exchange-traded funds to surpass a trillion dollars. But it should only take another three years to top the second trillion.

PALM DESERT, Calif. – It may have taken almost 18 years for the combined assets of exchange-traded funds to surpass a trillion dollars. But it should only take another three years to top the second trillion.

An increasing number of advisor teams are transitioning to the fully independent registered investment advisor model from independent broker dealers, according to a Charles Schwab Advisor Services survey, which found a 45% increase in 2010 compared to 2009.

The State Street Investor Confidence Index, while remaining below neutral territory of 100, rose 6.5 points in March to 98.3. In March 2010, however, it stood at 107.4.

ProShares has launched the ProShares Short Investment Grade Corporate exchange-traded fund, the first inverse investment grade corporate bond exchange-traded fund, which seeks to provide 1x the daily performance of the Markit iBoxx $ Liquid Investment Grade Index.