SEC Probes PIMCO Total Return ETF; Firm Says It's Cooperating
“We believe our pricing procedures are entirely appropriate and in keeping with industry best practices,” a firm spokesman said.
7 Ways to Avoid Picking a Bad Advisor
If a veteran Wall Street Journal editor covering wealth management gets duped by his advisor, Eric Nelson says, what chance do ordinary investors have?
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.
F-Squared Investments Says Regulators Consider Civil Action
F-Squared Investments, one of the largest managers of ETF investment products, said U.S. regulators were considering a civil action over performance claims.
2014 Broker-Dealers of the Year—Scenario 2: Keeping Your Top Producers
How do broker-dealer leaders respond when a top producer asks for a product that the compliance deparment doesn’t like?
Advocates: The 2014 Broker-Dealers of the Year
The 2014 Broker-Dealers of the Year are unabashed proponents of the independent BD model and, yes, their own firms.
Whistleblowers Abroad Not Protected Under Dodd-Frank, Court Rules
A federal appeals court dismissed a case brought by a whistleblower in China, saying Dodd-Frank's anti-retaliation rules didn't apply overseas.
Ritholtz to Alt Fund Investors: Beware ‘Negative Alpha’
Barry Ritholtz asks: Why should individual investors want to invest like a hedge fund?
Beyond Termination Fees: How Advisors Charge Clients to Fire Them
While advisors occasionally charge termination fees, FireMyAdvisor co-founder Dave Dickinson says that’s not the only method advisors use to hold on to unhappy clients.
Wall Street's Next Political Storm
Think the fading memory of the financial crisis means Big Finance will take less political heat in the 2016 presidential elections? Think again.