Finra enforcement fines soar 60% in 2021
Fines issued by the Financial Industry Regulatory Authority jumped 60% to $91 million, from $57…
Browsing: investment trust
Ex-broker accused of murdering client could also face FINRA penalties
As well as being Seegan’s financial advisor, Ashley was a friend who visited Seegan’s home…
Tompkins Financial Corporation – Consensus indicates downside potential of -0.9%
Tompkins Financial Corporation found using ticker (TMP) now have 2 analysts covering the stock with…
SmartTrust® Hires Ionescu, Promotes McLoughlin, Launches New Small Cap Strategy
PARSIPPANY, NJ, September 16, 2021 / PRNewswire / – Hennion & Walsh recently hired Bob…
ARK and Guggenheim to launch ITU focused on innovation
The new product will follow ARK’s handbook and aims to give investors exposure to early…
S&P 500 on the rise: ETFs to drive the rally
TThe S&P 500 has had a rally this year, ignoring a myriad of concerns, including…
ETFs to participate in the rally
The S&P 500 has had a rally this year, ignoring a myriad of concerns, including…
Guggenheim appeals to ARK for ‘first disruptors’ investment fund
Guggenheim Investments and ARK Investment Management have teamed up to launch a new Unit Investment…
Will Sars penalize my children for the investments I have made on their behalf?
Thanks for your question. For the purposes of this answer, we have assumed that your…
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Definition of primary approval
What is a master trust? A master trust is an investment vehicle that collectively manages…
Bank of America to Pay $ 11.7 Million for Excessive Selling Charges – US Regulator
By Jonathan Stempel NEW YORK (Reuters) – Bank of America Corp’s Merrill Lynch unit will…
Bank of America to Pay $ 11.7 Million for Excessive Selling Charges
By Jonathan StempelNEW YORK (Reuters) – Bank of America Corp’s Merrill Lynch unit will pay…
Pooling Money: Understanding Open-Ended Investment Trusts
“Don’t put all your eggs in one basket.” This timeless adage sums up the concept…
FINRA fines Merrill Lynch for millions for overseeing ITU sales
Merrill Lynch will pay more than $ 8 million in damages for failing to supervise…
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Bank of America to Pay $ 11.7 Million in Excessive Selling Fees – U.S. Regulator
June 25 (Reuters) – Bank of America Corp’s (BAC.N) Merrill Lynch unit to pay nearly…
BDO’s ESG unit trust fund sees AUM increase by 32%
BW FILE PHOTO The continuation of BDO UNIBANK, Inc.The Capabilities Unit Investment Trust Fund (UITF)…
What is it and how to invest
A unitary investment trust (UIT) is a type of investment fund that offers a fixed…
Best S&P 500 ETFs Right Now • Benzinga
S&P 500 ETFs offer investors a variety of ways to buy America’s top 500 companies,…
Recovering economy boosts betting on S&P 500 ETFs
TThe S&P 500 has been flying higher and hitting new highs lately. This is especially…
What is the best ETF among the Dow Jones ETFs?
ETFs have many advantages. As a basket of stocks, you can follow all kinds of…
Healthcare space investment opportunity unveiled
Fund manager Manulife Asset Management Trust (MAMTC) has unveiled a new investment fund that enables…
Ex-broker charged with murder of client in Texas
Ashley is currently not registered as a broker, according to BrokerCheck. There is a criminal…
ETF FYI: Invesco adds to QQQ range; Ex-Alerian team launches new funds
Investors poured $ 59.74 billion into ETFs in September, bringing net inflows for the year…
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Prudential actions appeal to income seekers
The motley madman takesPrudential Financial cares so much about having a solid foundation that it…
Ask the Fool: Can I move money into my IRA?
A: If your IRA is held at a brokerage house, you should be able to…
How to understand mutual funds
What is the philosophy of the investment company? An investment company is organized either as…
SagePoint Financial fined over $ 1 million
FINRA ordered SagePoint Financial to pay over $ 1 million in restitution to its clients…
How to buy SPDR S&P 500 ETF (SPY) on eToro?
Highlights: eToro is one of the most popular platforms for investing online eToro offers users…
S&P 500 ETF face-to-face: SPY vs. IVV
The S&P 500 exited the bear market, gaining nearly 23% from its March 23 low,…
New SEC Rule 6c-11 will modernize ETF regulation
Wednesday, October 2, 2019 On September 26, 2019, the Securities and Exchange Commission (SEC) ad…
Compliance Breaches Result in $ 15 Million Penalty for Raymond James | Item
According to SEC Order, at various times, from at least January 2013 to May 2018,…
Raymond James to pay SEC $ 15 million for wrongful charges
Raymond James central campus in St. Petersburg, Florida. The Securities and Exchange Commission on Tuesday…
Mutualised investment vehicles: definition and types
What is a mutualized investment vehicle?A common investment vehicle is a way to put your…
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Terms starting with “U”
Education General dictionary Economy business Finance Roth IRA Actions Mutual fund AND F 401 (k)…
SmartTrust® Launches New ITU 60/40 Quality Allocation Strategy and Hires Plant for South East
PARSIPPANY, NJ, July 18, 2019 / PRNewswire / – Hennion & Walsh recently hired Justin…
How To Use Choke-Point Investing | The smartest investor
Investors looking for alpha as the US stock market nears a 10th year of growth…
The Best S&P 500 Index Funds: A Complete Guide 2019
If you are looking to diversify your investment portfolio, an index fund is a great…
7 types of ETF structures
There are many inherent advantages to exchange-traded funds (ETFs), and many of them depend on…
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Definition of the defined portfolio
What is a defined portfolio? A defined portfolio is an investment trust that invests in…
Introducing ITU Investing: the first ITU research platform dedicated to investment professionals
CHICAGO–(COMMERCIAL THREAD) – UIT Investing â„¢, Inc., a registered investment advisor based in Chicago, Illinois,…
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What is Bitcoin Grayscale Trust?
The Grayscale Bitcoin Trust is a digital currency investment product that individual investors can buy…
Morgan Stanley to pay $ 13 million for ITU supervision
Orderly Wall Street Self-Regulation Morgan Stanley MS 0.20% paying $ 13 million in fines and…
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Definition of real estate investment trust (REIT)
What is a Real Estate Investment Trust (REIT)? A real estate investment trust (REIT) is…
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Definition of Trust Unit (UT)
What is a Unit Trust (UT)? A mutual fund is an unincorporated mutual fund structure…
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Closed End Investment Trust (WHFIT)
What is a closed-end investment trust (WHFIT)? An open-ended investment trust (WHFIT) is a type…
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Invest in a mutual fund
A unitary investment trust (UIT) is a US investment company that purchases and holds a…
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Mutual funds vs ETFs: similarities and differences
Mutual funds vs. ETFs: an overview Mutual funds and exchange traded funds (ETFs) have a…
How To Switch To A Unitholder Trust | Finance
How To Switch To A Unitholder Trust | Finances – Zacks Home Actions Actions +…
The ins and outs of municipal closed-end funds
Given the likely continuation of the record high yield environment for fixed income for the…
Nuveen Investments to acquire Incapital’s unitary investment fund platform
CHICAGO–(BUSINESS WIRE)–Nuveen Investments, a leading global provider of investment services to institutions as well as…
First Trust, partner of Chaikin Analytics on a new offer
Chaikin Analytics is collaborating with First Trust Portfolios on a new investment product, allowing fund…
Incapital and KKM Financial launch Incapital Najarian Heat
CHICAGO, June 22, 2015 (GLOBE NEWSWIRE) — Incapital LLC and KKM Financial today announced the…
Why mutual funds can be a good investment alternative
According to the Investment Company Institute (ICI), data on the market value of mutual funds…
Hennion & Walsh Expands SmartTrust® UIT Lineup with Innovative Income-Focused Portfolio Strategies
PARSIPPANY, NJ, July 27, 2011 /PRNewswire/ — Hennion & Walsh, one of the nation’s leading…
The 4 structures of ETFs
As the popularity of ETFs continues to grow, it’s important to understand the four different…