Mutual funds

The firm stood accused of not having policies to ensure clients' money was invested in keeping with environmental, social and governance goals.

The closings underscore shifting fortunes for sustainable investing as returns disappoint investors and anti-ESG rhetoric persists

Mutual funds will have to take extra care when using terms like ESG, value and growth.

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.

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

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.

Lawyers and compliance experts say advisors and brokers should still put clients' interests first when considering taking money out of a 401(k).

A proposed amendment to the Investment Advisers Act would require planners to vet third-party custodians before entrusting them with clients' cryptocurrency, real estate or other alternative investments.