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For ETFs, there's a dark side to zero-cost investing
NEWS INDUSTRY NEWS NOV 04, 2019
For ETFs, there's a dark side to zero-cost investing

Funds that eliminate management fees have to figure out how to pay for such expenses as record keeping and licensing an index.

Liquid alternative ETFs are set to double their assets, report says
NEWS INDUSTRY NEWS NOV 04, 2019
Liquid alternative ETFs are set to double their assets, report says

Investors are interested in alts as a way to diversify portfolios, and ETFs are an easy way to access some types of alts.

Fisher Investments won't take no for an answer, prospects say
NEWS INDUSTRY NEWS NOV 01, 2019
Fisher Investments won't take no for an answer, prospects say

Firm has accumulated a pile of complaints at the Federal Trade Commission from prospective investors.

Supreme Court to consider challenge to SEC disgorgement powers
NEWS REGULATION AND LEGISLATION NOV 01, 2019
Supreme Court to consider challenge to SEC disgorgement powers

California couple fighting a $27 million disgorgement order argue the agency lacks the power to demand the penalty.

North Carolina-based firm acquires $600M RIA founded by Arthur Laffer
NEWS INDUSTRY NEWS NOV 01, 2019
North Carolina-based firm acquires $600M RIA founded by Arthur Laffer

Mr. Laffer was the creator of the Laffer Curve, which was popularized in the 1970s

Florida's Broward Health pulls $93 million from Ken Fisher
NEWS INDUSTRY NEWS OCT 31, 2019
Florida's Broward Health pulls $93 million from Ken Fisher

Broward's board to seek new partner for its pension and investment assets.

NEWS INDUSTRY NEWS OCT 31, 2019
Navigating the RIA ecosystem

Firms that maintain open architecture and touch points will endure and grow.

Eric Cantor warns of investor backlash in wake of Fisher remarks
NEWS INDUSTRY NEWS OCT 29, 2019
Eric Cantor warns of investor backlash in wake of Fisher remarks

Financial firms that fail to respect women will be punished by their customers, he says

SEC reportedly probing AIG sales practices for retirement products
NEWS REGULATION AND LEGISLATION OCT 29, 2019
SEC reportedly probing AIG sales practices for retirement products

Insurer's stock drops on report the agency is looking at the unit that handles retirement plans for school districts and universities.

NEWS INDUSTRY NEWS OCT 29, 2019
Eric Cantor warns of investor backlash in wake of Fisher remarks

Financial firms that fail to respect women will be punished by their customers, he says