Investments

Five new filings follow the financial giant's move back into the asset class earlier this year after decades without a presence.

As markets brought fears of a recession in 2022, some firms fared better than others in limiting losses.

Advisors identified the SEC's new marketing rule as the "hottest" regulatory topic for the third year in a row.

Innovator Equity Defined Protection ETF offers guarantee against losses but also places limit on gains.

Assets under management for SMAs that invested in municipal bonds stood at $987 billion as of the first quarter, according to a JPMorgan Chase survey of 74 firms.

Are special purpose acquisition companies the wave of the future, or a waste of space? The experts weigh in.

Though qualified small business stock comes with extremely significant tax benefits, many advisors aren't putting them to work on behalf of their clients.

Allocations remained steady in one while dropping significantly in the other last year, according to a new study by Advyzon.

The new regulations are the latest attempt to ensure investors can't flee the funds in a panic during economic downturns.

State regulators accused the wealth management giant of charging customers commissions of $75 or more for small equities transactions.

Jeff Jones sees allowing donations to 501(c)3 groups as a way to accommodate advisors coming into the industry from the insurance world.

The giant asset manager and its rivals like Vanguard and Schwab are all benefiting from offering advisors funds bundled into ready-made strategies.

Boston Consulting Group offered financial advisors some business levers to consider in response to the worldwide impact of slumping stocks and bonds last year.

The plaintiffs plan to argue the current system deprives them of their right to a jury trial in cases involving securities allegations.

Analysts cited a slowdown in private equity firms being able to exit their investments, and said it's unlikely that transaction activity will recover in the second half.

Researchers found that relatively older mutual fund managers obtained half a percentage point higher annual returns than their relatively young counterparts.

The widely varying disclosures at some of the largest companies display how the common brokerage industry conflict of interest generates a fortune for them each year.

The broker-dealer self-regulator said the shortfall is partly the result of increased spending on staff coupled with a decline in the value of its investment portfolio.

The agency views the capital providers as a governance risk, and it says there are industrywide social concerns about enforcement cases and cybersecurity.