Investments

From FINRA fining two firms to U.S. listed ETFs seeing inflows of $27.94 billion, here's top news impacting mutual fund and ETF managers and providers.

FINRA found that LPL didn’t have a reasonable system in place to determine whether purchases of alternatives would cause a customer’s account to be unsuitably concentrated.

A measured dose of private placements can boost returns for HNW clients willing to hold some illiquid assets.

A measured dose of private placements can boost returns for HNW clients willing to hold some illiquid assets.

Investors can still get performance from the region if they know where to look, say the managers of Matthews Asian Growth & Income.

The dollar gained versus all its major counterparts after Federal Reserve policy makers indicated they’ll probably raise interest rates by the middle of next year with the U.S. economy showing signs of strengthening

A Morningstar Inc. analyst reiterated his top rating for Pacific Investment Management Co.'s Total Return Fund, the world's largest bond fund.

The ranks of America's richest investors are growing and so is their optimism, with confidence among global high-net-worth investors reaching pre-crisis highs.

The ranks of America's richest investors are growing and so is their optimism, with confidence among global high-net-worth investors reaching pre-crisis highs.

U.S. mutual fund companies are pushing back against claims that some firms may be too big to fail, saying that subjecting a few large money managers to more regulation would hurt competition and ultimately fund investors.

James E. Stowers Jr., who built a billion-dollar fortune as founder of the American Century Investments mutual fund company, then gave most of it away for medical research, has died.

As fixed-income bets disappoint, multisector bond funds have gained notice. But not all advisors are smitten.

Financial advisors' jobs are among those at risk as computerization threatens the U.S. workforce.

Hedge-fund and mutual-fund firms will face scrutiny of their risk-management practices in a meeting today with the top U.S. derivatives regulator.

Variable annuity net new sales are expected to surge in the coming years after taking a dive in 2012, according to research firm Cerulli Associates.

Vanguard's potential move into active ETFs could be a game changer for the active ETF industry and those that invest in active ETFs, says Christian Magoon, CEO of YieldShares

Going forward, there will be more providers, more users, and more penetration by ETFs in the global market for investment products.

Strong stock markets and the improving economy, along with new alternative investment products and the continuing appeal of ETFs, are boosting prospects for the sector.

Gun-shy and data driven, younger clients can pose a particular challenge. Here are 5 concepts to keep in mind.

Bonds from Puerto Rico's record $3.5 billion general-obligation sale accounted for one-third of the trading volume of the entire $3.7 trillion municipal market on the day of their issue.