A little-known provision within the Dodd-Frank law gives the Securities and Exchange Commission the power to remove mandatory-arbitration language from client-broker agreements, which could expose broker-dealers to huge costs, according to observers
Some asset management executives would argue that now isn't a good time to be in the money market fund business
A shift in focus to core offerings — triggered by investor uncertainty over the direction of the markets — is crimping the growth of sector ETFs
State regulators are bracing for an onslaught of investment advisers who will have to register with them for the first time next year
The SEC is examining the burgeoning business of financial advisers' selling model portfolios of exchange-traded funds.
Little-discussed provision in Dodd-Frank empowers the commission to put an end to mandatory arbitration
American Century Investments is discussing launching global bond funds for international and U.S. investors
New accounting standards proposed by the Financial Accounting Standards Board would give index funds a substantial advantage over actively managed funds, observers contend
U.S. One Inc. has filed with the Securities and Exchange Commission for approval to offer exchange-traded funds that invest in individual U.S. and foreign-listed securities.
