Compliance

So far this year, 1.2 million shares were traded daily on average on the Nasdaq Biotechnology ETF, down from 2.2 million in the same period in 2014.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.

A single percentage point increase in ETF ownership has demonstrable effects on an individual stock, researchers said.

Most of the inflow came in the second half of the month after the Fed laid out an unexpectedly dovish rate-hike outlook, Russia's central bank said.

The world's central banks are beginning to plan their course through the uncharted waters of quantitative tightening.

The rep declined to provide the regulator with documents it needed to investigate allegations that she converted $13,000 for personal use.

The new offerings could boost returns to investors by 50 basis points, according to a study.

The new offerings could boost returns to investors by 50 basis points, according to a Morningstar study.

The settlement is the third major regulatory payment the BD has incurred in the past year. A branch manager associated with the Jay Peak case has also left the firm.

Motif’s Hardip Walia discusses attitudes of investors and the inadequacies with contemporary environmental, social and corporate governance investing.