Investments

FINRA says the brokerage didn't have enough controls in place to detect that Jared Weinryt had breached his $116 million trading limit as he made overnight bets on so-called futures.

Midsized RIA firms are the new sweet spot for managers of mutual funds and ETFs, according to a new report from Cerulli Associates.

The tech-laden Nasdaq added 13.95 points Wednesday to finish at 3030.93 but the Dow Jones Industrial Average and S&P 500 lost 7.36 points and 1.60 points, respectively.

BlackRock remains the behemoth in ETF/ETP assets under management, with a global market share of over 38% and a U.S. market share of more than 40%.

Investors poured $7.2 billion into bond funds last week, while pulling $3.6 billion from funds that invest in U.S. stocks.

Victory Capital Management has selected Citi Transaction Services for a range of middle office outsourced services.

Newfleet Asset Management has named Frank Ossino a senior portfolio manager of the Virtus Senior Floating Rate Fund.

U.S. bond fund investors have been more reliant on government bonds and corporates than their European counterparts but that will change if rates stay low.

JonesTrading Institutional JonesTrading to Acquire Conifer SecuritiesServices said it signed a letter of intent to acquire Conifer Securities from the Conifer Group.

Equity fund investors appear to be exiting from mutual funds and investing in ETFs instead. The ICI reported net redemptions of $64.673 billion for U.S. equity funds and $42.887 billion for all equity funds for the year to date.

Standard & Poor's downgrade of the United States government a year ago has had a wide but shallow impact on municipal bonds.

The Dow Jones Industrial Average inched up 2.71 points Tuesday to close at 13.172.14 while the S&P 500 and Nasdaq trimmed 0.58 points and 5.54 points, respectively. Here are some more details from Tuesday's trading session: Dow Jones Industrial Average: Up six of the past eight trading days. An intraday high of 13223.01 occurred at 09:32:19 today, representing an increase of 53.58 points, or 0.41%. An intraday low of 13142.10 occurred at 15:53:39 today, representing a decrease of down 27.33…

As sales of ETFs boom, the SEC's Office of Investor Education and Advocacy has released an investor bulletin on the investment vehicle.

U.S. debt yields put you asleep. But you better be on your toes, with the adventure involved in emerging market bonds.

As sales of ETFs boom, the SEC’s Office of Investor Education and Advocacy has released an investor bulletin on the investment vehicle.

First Trust Advisors has rolled out two new ETFs based on NASDAQ indices. The First Trust NASDAQ Technology Dividend Index Fund and the Multi-Asset Diversified Income Index Fund, which is based on the NASDAQ Multi-Asset Diversified Income Index, began trading Tuesday on NASDAQ.

WallachBeth Capital, an institutional brokerage firm, has created the WallachBeth Healthcare Research Group.

Equity fund investors appear to be exiting from mutual funds and investing in ETFs instead. Fixed income funds are a different story.

On August 30, the Department of Labor's Employee Benefits Security Administration participant fee disclosure rule, dubbed ERISA 404(a)(5), will go into effect.

First Trust Advisors has rolled out the First Trust NASDAQ Technology Dividend Index Fund and the Multi-Asset Diversified Income Index Fund.