Mutual funds

The regulator charged the firm and its owner with fraud in a case centered on commissions and 12b-1 fees.

Data reported by the Investment Company Institute.

Dec. 11: Asset management experts say these topics will be key drivers in 2018.

To add insult to injury, these returns didn’t even come cheap. The average expense ratio was more than 1%.

The bank's retail brokerage business sold customers shares in mutual funds with front- or back-end sales charges when they were eligible for Class A shares that waived the upfront sales load, FINRA claimed.

The IBD has boosted payouts for advisors as it trims lower producers from its ranks.

The $284 billion asset manager aims to track municipal bond prices in its mutual funds with the service.

Factor-based approaches to index investing have won heaps of investment. Can it last?

Data reported by the Investment Company Institute.

Investors would be required to sell the shares they purchase first, which often is the lot that has the most gains and thus generates the bigger tax hit.

Data reported by FUSE Research.

Nov. 27: Product shelves are changing as issuers modify their pitch to planners in the wake of the fiduciary rule and wane of traditional wholesaling.

Coming up with a solution will be challenging because of U.S. sanctions.

The Senate’s plan requires that holders of more than one batch of a particular security, known as a lot, sell the one they’ve retained the longest first.

Data reported by the Investment Company Institute.

Nov. 20: Security, ease of workflow and the ability to work across platforms are key features RIAs demand.

The majority of public and private funds using the strategy launched in the last three years.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

Data reported by the Investment Company Institute.

Emerging markets, value and small-cap funds dominate the list, but other factors need to be considered, as well.