Investment funds

FINRA charges restitution but forgoes punitive fines for the three firms after crediting them for cooperating in its investigation.

As investors think about moving cash out of money market funds, a low-duration strategy could make sense.

Target-date fund holders who invested through taxable accounts absorbed a giant capital gains distribution because of the firm's flub, the plaintiffs say.

Regulators accused the firm of misleading customers about fees and of not being upfront about conflicts of interest with its recommendations of mutual funds, private equity and other investments.

McQuown is credited with kicking off a financial revolution with the creation of the first index fund.

A new ETF is attempting to carve out a slice of the $6.3 trillion in traditional money-market funds.

The proposal seeks to mirror similar funds used by Norway, Kuwait and Abu Dhabi to support national interests in technology, energy and other industries.

The "father of the index fund" was famously skeptical that exchange-traded funds would encourage risky and speculative stock market bets.

A belief in the exceptional nature of U.S. markets can blind advisors to clients' true risk tolerance.

Cadaret Grant agreed to fines to clear up allegations that it had failed to disclose conflicts with costly mutual funds and sweeps accounts.