ETFs Saw Growth in November: Cerulli
By Marlene SatterETFs finally saw inflows on the positive side in November, although it wasn't exactly a number to boast about. According to the December…
December 26, 2018
Genworth Gets Major Regulatory Approvals for China Oceanwide DealThe Delaware commissioner says he will try to help Genworth's GLIC subsidiary pay all promised LTCI benefits.
December 26, 2018
Market Turmoil Reasserts Influence of U.S. Capital MarketsA new SIFMA report helps explain the role that U.S. equity and bond markets play on the world stage.
December 26, 2018
Fund Investors Pull $56B in Biggest Exit Since '08The exit from funds came as stocks have plunged on fears of a slowing global economy and President Donald Trump's criticism of Federal Reserve Chairman Jerome Powell.
December 26, 2018
SEC 12b-1 Fee Crackdown Ensnares American Portfolios Advisors, PPS AdvisorsWithout admitting or denying the findings, American Portfolios agreed to pay about $895,3500 in disgorgement and prejudgment interest and a civil penalty of $250,000.
December 26, 2018
Shutdown Enters Fifth Day Amid Impasse Over Trump's Border WallAmong the departments without funding are Justice and Treasury; independent agencies like the SEC are also affected.
December 26, 2018
Brave New World: How Younger Advisors See Tech Changing the BusinessNew survey shows sharp differences between older and younger advisors on how technology can help them expand their businesses.
December 26, 2018
CFPB Isn't Using a Process to Evaluate Consumer Risk: GAOA GAO report states the CFPB fails to use information from its market monitoring and other sources to determine serious consumer problems.