Finra said the firm failed to deliver documents after ETFs were purchased by clients.
Strategic moves by two exchange-traded fund managers underscore the uniqueness of the offering.
The SPDR S&P 500 Trust is a favorite of both long-term investors and short-term traders, and a good example of how an ETF can work for all kinds of investors with all kinds of goals.
Breakfast with Benjamin is back. Today: SAC Capital is now a family office; gold and silver start to shine; navigating bonds with ETFs; another debt-ceiling fight; cheaper gas in 2014; and the biggest product flops of 2013.
After years of redemptions and on its third CEO, Denver investment company is giving the ball to the Bond King.
Firm's managed accounts can make greater use of products like bond mutual funds and ETFs over individual bonds in model portfolios.
New products will add to existing lineup, allowing investors to custom build alt portfolios.
Breaking down some key differences between ETFs and mutual funds so you can help clients avoid unpleasant surprises.
A proposal backed by major active mutual fund managers gets rebooted.
Less than a month after rejecting nontransparent ETFs, the SEC is ready to back a new and possibly cheaper way to trade funds.
Gold price disconnect signals a value play for select miners and ETFs
Even if an investor didn't sell shares in a fund this year, if a manager took profits or sold to meet redemptions, the investor shares in the tax burden.
Performance makes funds seem bedeviled, but sometimes curse lifts.
'Swallowing hard' and sending checks to clients, Guggenheim sticks with strategy for advisers.
Largest U.S. exchange-traded fund that tracks mainland Chinese stocks sank more than 7% after policy makers tightened curbs on the local debt market, fueling a rout across asset classes.
Single-country funds average 12-month gains of 55% but region can be volatile for investors.
Giant of active management joins other fund companies asking for new rules to allow it to offer more ETFs.
Howard Present leaves as firm faces regulatory scrutiny over how it reported performance.
