SEC Enforcement Roundup: Husband and Wife Charged in Charity Fraud Against Seniors
Also among recent enforcement actions was the sentencing of an insider trading informant who managed to avoid prison time for his cooperation.
Wealth Managers: Tell Your Clients to Stop Being Afraid
Advisors who keep an eye on the curious and sometimes counterproductive behavior of investors can combat lackluster returns in their own clients’ portfolios.
Where to Invest if Rates Rise—Searching for Alpha for December 2012
How we may change our portfolios if rates head higher, with market index performance for November 2012.
ETFs & Taxes: A Deeper Look
Investor and advisors can benefit from understanding the advantages and downsides of exchange-traded funds and other products
‘No Timing’ on VA Summary Prospectus: SEC’s Nash
Nash also said she “couldn’t predict” where such a rule proposal falls among the SEC’s priorities.
Can Advisors Have ‘Zero’ Conflicts of Interest? The Legal and Regulatory Record
The CFP Board’s director of investigations makes the case that there is no such thing as “zero” conflicts of interest and that the nature of “material” conflicts of interest is subject to change.
What’s Next for the Growth of ETFs?
Advisors are looking for finer slices of capital markets, as well as better beta and alternative weighting methodologies for gaining exposure to market segments.
Defined Maturity ETFs: Innovation in Fixed Income
Defined maturity ETFs combine the benefits of individual bonds, bond funds and traditional fixed-income ETFs.
Five Good Questions for Moshe Milevsky
From solving the annuity puzzle to figuring out the best role for GLWBs, the retirement-planning expert has some revealing insights
Investors Lack Basic Financial Literacy Skills: SEC Study
Retail investors—particularly minorities and the elderly—fail to understand concepts such as compound interest, inflation or the differences between stocks and bonds, according to a just-released study by the SEC and the Library of Congress.