Investments

Amid a broad deregulatory push, industry watchdogs are seeking to lower barriers that now limit many alternative investment products to so-called accredited investors.

The impact of President Trump's push against diversity, equity and inclusion programs at the SEC remains murky, according to a watchdog report.

Advisors must develop frameworks to help clients maintain financial discipline amid political turbulence. Here are three filters to use as conversation starters.

They must file the lengthy and highly specific Form ADV document with the SEC and state-level agencies. And that's just one aspect of the many strategic decisions.

State regulators accused LPL Financial, Edward Jones, Stifel, RBC and TD Ameritrade of charging their clients unreasonably high and unfair commissions on 1.12 million equity trades over a five-year period.

A unique mutual fund type is gaining ground with advisors, according to the FPA's newest survey. Advisors say the data points to a broader trend of planners shifting away from investment management.

Retired investor Tracy Driver alleges he was encouraged to put millions into a now delisted media company and then lost more through unauthorized sales of "prized" shares in Nvidia, Microsoft and Alphabet.

Advisors who have experience with these ETFs say they can offer an easy, secure entry point for investors. However, choosing the right one requires further discretion and research.

The immediate dispute centers on two proposed funds from ETF firms REX Financial and Osprey Funds that would allow investors to earn rewards by deploying ether and solana tokens to help validate blockchain transactions, a process known as staking.

The firm is allocating as much of 20% of clients' portfolios to private credit, a market it was even in three years ago.