Although most broker/dealers have policies and procedures in place to address these products, firms need to improve the suitability review and add more controls around holding periods, NASAA says.
The San Mateo, California-based asset manager wants to start a new exchange-traded fund that will invest in equities, debt, commodities and currencies -- rather than allocating to one asset class.
Change is coming to the ETF marketplace. ETFs once seemed unstoppable as the fund world’s evolution from closed-end products to open-end mutual funds to ETFs seemed complete. But while the industry continues to rake in an impressive $1 billion...
A new generation of online financial advisers allow investors to bypass funds and customize portfolios to match their environmental, social or governance-related goals.
