Investment funds

More art than science, financial advisors can face difficulty in determining what constitutes a "substantially identical" security.

A survey from the FINRA Foundation and CFA Institute finds that cryptocurrency and individual stocks remain popular with the younger crowd.

Tax-loss harvesting can eke out some extra percentage points of return — if you don't try to time the market and miss a rebound.

Panelists at the self-regulator's annual conference list instances when they should document the reasons for the investment advice.

The expiration could be a minor footnote in history, or a pivotal moment for fund managers looking for a fresh edge in a cutthroat market.

For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.

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.