When Active ETFs Aren't Really Active
Because of the SEC's approval of transparent, actively managed ETFs, advisors can now select from an increasing array of passively and actively managed ETFs for building and maintaining client portfolios.
FINRA Warns About Investing in Nigeria, Lebanon, Other Frontier Markets
FINRA issued an investor alert, saying these markets have “heightened risks.”
Clients Less Anxious but Risk Aversion Is Rising, Advisors Say
Advisors say client anxiety has abated, but they see a big increase in risk aversion in the next year, a Hartford Funds survey says.
Morningstar, Redtail Partner on Enhanced User Interface
Redtail Technology is integrating Morningstar’s proprietary research on its platform.
Morningstar Upgrades 13 Funds, Downgrades 2
The research group issued new ratings on four mutual funds in August.
How Advisors Use Educational Tools for Their Clients
A Practical Perspectives study examines client-approved resources, including where advisors get them and which topics are most sought after.
ICI Welcomes New SEC Rules on Funds, Asset Managers
“Any risks that may arise in asset management are best addressed by the SEC,” says ICI's Paul Schott Stevens.
2014 Broker-Dealers of the Year—Scenario 3: SEC Imposes Fiduciary Standard on Reps
How would top BDs handle this scenario? "In many ways," says Eric Schwartz of Cambridge, "we're in a fiduciary world already."
3 Investments Retirees Should Avoid: Morningstar’s Benz
Morningstar's Christine Benz warns that some assets can add volatility, expenses and stress to retirement portfolios, with little upside.
Should I Stay or Should I Go (Independent)?
There are a lot of issues to consider before making the move from a wirehouse or bank to an independent advisor.