3 Reasons New ETF Could Boost China, Germany Investment Ties
One of mainland China's largest fund managers is looking to the West with an ETF based on Germany’s DAX.
FINRA, SEC Enforcement: 6 Charged With Insider Trading on eBay Acquisition
Meanwhile, FINRA fines Edward Jones for unsuitable ETF recommendations.
Mary Jo White: The 2014 IA 25 Extended Profile
"There are a number of ways" to impose a uniform fiduciary duty, the SEC chairwoman told ThinkAdvisor in an exclusive interview.
The IA 25 for 2014
This is our 12th annual IA 25 list, bringing together the most influential people in and around the advisor industry.
SEC to Seek More Input on Target-Date Fund Marketing Rules
SEC Chairwoman White addresses target-date fund proposal, predispute arbitration agreements and fiduciary rulemaking at CFA event.
Debunking Time: Fiduciary Duty Would be Good for (a Broker's) Business
The Financial Planning Coalition’s letter to the SEC debunks the securities industry’s current main objection that a fiduciary standard would cost too much for brokers.
SEC Gets an Earful From Advisors on Fiduciary Standard
Comments to the SEC from individual advisors—yes, most of them RIAs—call for one standardized fiduciary duty for all. Even Vanguard founder John Bogle weighed in.
Bullard’s Blistering Critique of House Fiduciary Plan Offers Way Forward
A congressional hearing in late May showcased the latest arguments against SEC fiduciary rulemaking.
The Election and Advisors: FPA’s Dan Barry Reports, and Predicts
Looking at next year’s advocacy agenda for FPA, much depends on the election and who is placed in key positions. A rundown of the big issues for planners, and what different election scenarios mean for those issues.
Vanguard’s Bogle to SEC’s Schapiro: Include Institutional Advisors in Fiduciary Rule
In the debate over how to shape a fiduciary mandate for brokers, Vanguard founder John Bogle says that the SEC should include in its rule advisors to registered investment companies, which have been “ignored.”