4 More Annuity Answers Investors Need to Know
NAFA has released a paper that helps advisors answer clients' most important annuity questions.
SEC Responds to Market Volatility by Ramping Up Bond-Fund Exams
Surging market volatility is making regulators increasingly concerned that bond funds have loaded up on hard-to-sell assets.
SEC Rejects Non-Transparent ETFs
The SEC rejected plans by BlackRock and Precidian Investments to open a new type of ETF that wouldn’t disclose holdings daily.
Fiduciary Rule to Snag BDs on IRA Rollovers
The DOL is likely to hold broker-dealers who chase IRA rollovers to the same fiduciary standards retirement advisors must meet, ERISA attorney Fred Reish says.
Fiduciary September and What’s Possible
What we learned during Fiduciary September from John Bogle, John Taft, Barbara Roper, Troy Paredes and Robert Plaze.
Misconceptions Over Investment Terms Can Plague Advisors Large and Small
The saga of the San Diego County pension plan and its advisor should serve as a cautionary tale for advisors about the importance of educating clients.
SEC Panel Backs Broader Definition of Accredited Investor
Investor committee recommends ways SEC can modernize definition for buyers of Reg D offerings; Chairwoman White vows to make “real progress.”
20 Best & Worst States for Pension Funding
Data from S&P shows the health of public retirement funds.
Top Portfolio Products: Ivy, ProShares & TIAA-CREF Launch Funds
Fund shops zoom in on mid-cap, managed futures, emerging-markets debt and lifecyle strategies.
SEC Enforcement: Ex-Wells Fargo Analyst, Trader Charged With Insider Trading
SEC also hits two for insider trading on Pershing Square's Herbalife short, while Massachusetts charges a tax advisor with preying on elderly relatives.