Investment funds

A bill before Congress would let planners with certain securities licenses place clients' money in private markets regardless of their income or net worth.

Representatives of the industry argue the changes would fall particularly hard on planners who are authorized to make trades on behalf of clients.

The firm and an advisor kept clients in leveraged funds for extended periods, even though they were often meant to be held for a single day.

Leaning into the technique and the technology that enables it at scale can differentiate a practice while driving better clients outcomes.

The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.

Regulators accused the investment tech company of costing customers millions of dollars by not reducing their capital gains liability.

The giant financial institution's performance during the first three months of 2023 is being closely watched by the wealth management industry.

Researchers find that performance expectations are highest among people who invest in environmental, social and governance causes for moral reasons.

The Wall Street regulator's sweeping proposal would affect everything from brokerage fees to how stock prices are quoted.

A young New Yorker has invested in both American and international index funds. How much should he put into each?