Daniel Lerner, who's executive vice president of investor services at David Lerner Associates, faces potential disciplinary action over sales of energy funds.
The index fund giant is making history with its first-ever shuttering of a U.S.-listed ETF, but it's not elaborating on its plans for its five other factor-based funds.
Cash saw inflows of $30 billion in the week through Sept. 21 with the vast bulk now earning upwards of 2%, with pockets paying 3%, 4% or more.
In an RIA Lab discussion of what investors should expect from alternative investments, panelists note that fees are high and liquidity is limited.
As the spillover from the UK's proposed tax cuts washed into the US stock market, the index posted its fourth consecutive day of losses.
But for sustainability-linked bonds, sales are up 18% year-to-date compared with this time in 2021, according to S&P.
A survey of pension fund managers responsible for nearly $2 trillion worth of assets shows asset allocation decisions are being driven by a focus on climate change and a search for yield.
The largest American insurance companies have uneven track records with diversity when it comes to selecting asset managers.
Clients don't have to sell stocks in their individual retirement accounts to take their required minimum distributions.
Last week, Judge Rodolfo Ruiz gave the SEC 10 days to negotiate a settlement with Par Funding founders Joseph LaForte and his wife, Lisa McElhone.
Advisers are adjusting clients' portfolios to weather the recession that could result from the central bank's response to spiking prices.
Investors are bracing for volatility from the jumbo Federal Reserve interest-rate hike expected Wednesday to fight price pressures.
The Carbon Strategy ETF, which is listed on NYSE Arca, will hold futures contracts on carbon allowances in emissions trading systems in Europe and North America.
Woll has been the face of one of the most prominent organizations supporting sustainable investing for 16 years.
A pair of exchange-traded funds would analyze the financial disclosure of lawmakers from both parties and their spouses and dependent children.
A group of 13 signed an open letter that calls out moves against ESG criteria being used in investing public money as politically motivated.
Chicago’s Loop Capital Markets helped an unnamed Midwestern city buy fixed-income securities.
The top Republican on the Senate Banking Committee pressed the SEC chair to scrap an agency proposal to require climate reporting by public companies.
The firm's other active sustainable exchange-traded fund, Climate Change Solutions, launched in 2021.
The asset manager's initial lineup includes the Ultra Short Income and Tax-Aware Short Duration Municipal ETFs.
