GameStop Stock: Redditors Decode Ryan Cohen’s Tweets
Ryan Cohen is one of the biggest personalities behind the GameStop (EMG) – Get GameStop…
Browsing: Unit Investment Trust
FINRA fines jump 60% in 2021 as caseload drops slightly
Fines collected by Wall Street’s self-regulatory group, the Financial Industry Regulatory Authority, jumped 60% in…
Finra enforcement fines soar 60% in 2021
Fines issued by the Financial Industry Regulatory Authority jumped 60% to $91 million, from $57…
Morgan Stanley Unit Investment Trusts: Trustee’s 2021 Annual Reports
MORGAN STANLEY AI & ROBOTICS 2 CUSIP: 61771T105, 61771T204 MORGAN STANLEY BLUE CHIP VALUES 1…
SEEIT invests 22 million euros in a Portuguese biomass project
SDCL Energy Efficiency Income Trust (SEEIT) has agreed to acquire an 80% stake in a…
The significant advantages of investing in an AR
Among the many questions that have arisen during Covid is the contentious debate around the…
Europe has a record year for biomethane production
The European biomethane industry saw record production levels in 2021.Europe now has 1,023 production plants,…
Top performing mutual funds in South Africa over the past decade
Not a single fund listed for sale in South Africa has outperformed the US market…
Rs 100 crore city park to de-stress students at Kota training center
The government of Rajasthan is building a world class urban park worth Rs 100 crore…
FINRA adjudicates cases arising from focused reviews on ITU early renewals – Finance and Banking
United States: FINRA resolves cases arising from focused reviews on ITU early renewals 20 December…
FINRA reaches agreement with investment firms on ITU renewal issues
The Financial Sector Regulatory Authority (FINRA) has reached agreements with six member investment firms to…
Wells Fargo fined $3.1m as Finra concludes ITU investigation
The Financial Industry Regulatory Authority (Finra) has completed a multi-year regulatory investigation into the sale…
IQ Financial Advisor – Content page
Wells Fargo Clearing Services and Wells Fargo Advisor Financial Network have settled with the Financial…
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…
Wells Fargo Wins $ 3.1 Million in ITU Finra Exam Sweep
Wells Fargo Investments LLC has agreed to pay $ 3.1 million to settle charges for…
Inflation, interest rates and the Fed
Bet_Noire/iStock via Getty Images Inflation can be defined as a general increase in prices and…
Worth R100,000 after five years in SA upper and lower funds
A recent Moneyweb analysis showed that investing R100,000 in the country’s largest equity funds in…
Finra denies $ 36 million claim against Raymond James by former brokers
The Financial Industry Regulatory Authority has rejected a $ 36 million arbitration claim against Raymond…
Raymond James wins in $ 36 million arbitration case
A messy arbitration case in which former Raymond James & Associates brokers demanded $ 36…
What R100k in SA’s biggest equity funds five years ago is worth today
Imagine for a second that you invested a lump sum of R100,000 in one of…
Form 424B2 Royal Dutch Shell plc
one of the Underwriters makes a representation that the Underwriters will enter into such transactions…
Should I invest in a term account or in a SICAV for my child?
When comparing interest bearing investment options, it is important to understand how quoted interest is…
Former Merrill Managed Investments Director Sandy Bolton Joins FS Investments
Alternative asset manager FS Investments has hired Sandy Bolton, the former head of managed investments…
What to consider when choosing a fund manager
Over the past decade, there has been an increase in the number of mutual funds…
Investments in qualifying opportunity funds
PREVIEW Since coming into effect in January 2018, Subchapter Z of the U.S. Tax Code,…
Ibis to invest over 500 crore rupees to add four properties by FY24, Real Estate News, ET RealEstate
MUMBAI: The international lifestyle-focused mid-range hotel chain Ibis, part of the large French hotel group…
Leisure Hotels Group will add six properties by the end of 2022, Real Estate News, ET RealEstate
NEW DELHI: Hotel company Leisure Hotels Group plans to add six properties across the country…
$1.5 million: FINRA fines Merrill Lynch for its short positions
Merrill only took action in October 2016, but its systems were not reasonably designed to…
OYO Seeks Sebi For Rs 8,430 Crore IPO, Real Estate News, ET RealEstate
NEW DELHI: Hotel aggregator OYO filed preliminary documents for an Initial Public Offering (IPO) of…
Pride Hotels plans to expand to 50 properties by 2022, Real Estate News, ET RealEstate
MUMBAI: Pride Group of Hotels announced on Wednesday that it plans to expand its portfolio…
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Evergrande’s domestic debt deal eases immediate contagion fears
The Evergrande unit says it has settled the payment of a bond couponInvestors, analysts downplay…
SmartTrust® Hires Ionescu, Promotes McLoughlin, Launches New Small Cap Strategy
PARSIPPANY, NJ, September 16, 2021 / PRNewswire / – Hennion & Walsh recently hired Bob…
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Understanding closed and open funds
Closed vs. Open-Ended Funds: An Overview Wall Street can be a complicated place. It is…
SEBI will soon reduce the transaction settlement cycle to one day. What does this mean for investors?
The market regulator Securities and Exchange Board of India has deployed an option to settle…
This Bronze Star hero found the children he nearly killed in WWII
‘Admiral Kuznetsov’ in dry dock in July 2015. | usage worldwide Christophe Michel / Photo…
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…
Is the SPDR Portfolio S&P 500 High Dividend ETF (SPYD) a solid ETF right now?
MDebuting on 10/21/2015, the SPDR Portfolio S&P 500 High Dividend ETF (SPYD) Smart Beta Exchange…
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…
Top-ranked growth stocks to buy for August 2
Here are four stocks with buy ranks and high growth characteristics that investors should consider…
How will my family receive the assets of my estate?
If you’ve got your ducks in a row, you hopefully have your will up to…
ITU’s first shifts result in FINRA fine – Finance and Banking
United States: First ITU overturns result in FINRA fine To print this article, simply register…
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…
New strong buy stocks for July 19
Here are five stocks added to Zacks Rank # 1 (Fort Buy) list today: AdvanSix…
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Definition of primary approval
What is a master trust? A master trust is an investment vehicle that collectively manages…
$ 133 billion company strengthens Mexico presence by adding to list of Afores fund providers
Mexico’s pension fund trading organization Amafore has added its first fund from US asset manager…
ETF Superpower in the making
Ben fultonBen Fulton is one of the pioneers of the ETF industry. He began his…
United States Unit Investment Trusts Service 2021: All unit investment trusts issued in the United States – ResearchAndMarkets.com
DUBLIN – (COMMERCIAL THREAD) – The “US Unit Investment Trusts” database has been added to…
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. to Pay $ 8.4 Million in Customer Restitution
The Financial Sector Regulator (FINRA) has issued investment fund return payment orders against Merrill Lynch,…
Inside Anthony Scaramucci’s bitcoin ether ETF game plan
Episode 36 of Season 3 of The Scoop was recorded remotely with Frank Chaparro of…
Merrill Lynch settles FINRA case over ITU sales for $ 11.7 million
The latest FINRA case took almost a decade to resolve.Almost five years after the regulator…
FINRA: Merrill Lynch to pay $ 11.25 million in case of ITU renewal
FINRA has fined the activities of Stifel and Oppenheimer on similar charges over the past…
Britain to investigate if Amazon and Google are doing enough to block fake reviews
TECHNOLOGY UK to survey Amazon and Google for fake reviews Britain’s competition regulator on Friday…
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…
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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…
Merrill to pay over $ 11 million for ITU rollovers
What would you like to know Merrill was ordered to pay more than $ 8.4…
FINRA fines Merrill Lynch for millions for overseeing ITU sales
Merrill Lynch will pay more than $ 8 million in damages for failing to supervise…
Colorado RIA Settles With SEC On ITU, Mutual Fund Fees
A Colorado-based registered investment adviser settled charges with the Securities and Exchange Commission this week,…
BSP seeks to streamline UITF rules
THE BANGKO SENTRAL ng Pilipinas (BSP) seeks to streamline the requirements of Ficreation by the…
Clifford Corso appointed President and Chief Investment Officer of Advisors Asset Management
MONUMENT, Col., June 7, 2021 / PRNewswire / – Advisors Asset Management (AAM), a leading…
This investment could help you get through the next stock market crash
Wthe hen will be next stock market crash happen? If we could predict this accurately,…
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)…
5 Investments You Can’t Hold in a Qualified IRA / Plan
For millions of Americans, the freedom offered by Self-Directed, Traditional, and Roth IRAs can be…
SEC Enacts Rule 2a-5: Get Highlights of Upcoming Adjustments
Final 12 months, the Securities and Change Fee proposed rule 2a-5 below the 1940 Funding…
What is it and how to invest
A unitary investment trust (UIT) is a type of investment fund that offers a fixed…
These are the 10 best performing stocks since the market bottomed 1 year ago today
The stock market is celebrating its first anniversary of a bull market today, marked by…
SkyBridge’s Scaramucci files to launch bitcoin ETF with First Trust Advisors
FILE PHOTO: New White House Communications Director Anthony Scaramucci stands during the daily White House…
TPG Launches New Initiative to Seed Diverse Investors and Entrepreneurs ”Dallas Innovates
Illustration: aelitta / iStock TPG, a global alternative asset company based in Fort Worth and…
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,…
Securities Financing Regulation News | Japan reserves Q2 2019 for Q + 2 rule change
Japan has unveiled a “provisional” timetable for the transition of its trade from a T…
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…
Securities Finance Industry News | SEC praises ‘smooth’ T+2 transition
The U.S. Securities and Exchange Commission (SEC) has welcomed the industry’s efforts to move from…
Dow Jones Inventory Alternate Right now – Which ETF is Finest Amongst Dow Jones ETFs? | Zoom Fintech
Dow Jones Inventory Alternate Right now – Which ETF is Finest Amongst Dow Jones ETFs?…
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…
Compass, Backed by SoftBank, Reported 56% Income in 2020, Actual Property Information, ET RealEstate
BENGALURU | NEW YORK: Actual property brokerage agency Compass Inc launched its submitting for an…
Wells Fargo moves to restructure its wealth management unit
What would you like to know The consolidation will reduce the number of regions in…
What is fixed income?
When you read “What is fixed income?” You probably thought we were referring to employment.…
Will Wells Fargo’s sale of its asset unit strengthen its image?
What would you like to know “Given the scrutiny of the business, this is overdue, 
Professional Claims Bureau, Inc. Joins Meduit to Expand Market Share and Services as One of the Nation’s Largest Healthcare Revenue Cycle Solutions Companies
CHARLOTTE, NC, Feb. 05, 2021 (GLOBE NEWSWIRE) – Meduit, one of the nation’s top five…
BDC – Business Development Company – A Rapidly Growing Industry
Small businesses often face more stringent loan requirements. They usually have non-investment grade ratings and…
Definition of SEC S-6 kind
What’s the SEC S-6 kind? The SEC Kind S-6 is a submitting with america Securities…
Healthcare space investment opportunity unveiled
Fund manager Manulife Asset Management Trust (MAMTC) has unveiled a new investment fund that enables…
SmartTrust® Releases High 10 Funding Themes for 2021 and Hires Kowalczyk to Cowl West Coast Territories
PARSIPPANY, NJ, January 19, 2021 / PRNewswire / – Hennion & Walsh lately employed Kevin…
Are you able to place a stop-loss order on a mutual fund?
To begin with, do not forget that a stop-loss order is a restrict order positioned…
Invesco Ltd. announces its assets under management as of December 31, 2020
TipRanks3 “Strong Buy†stocks under $ 10 with triple-digit upside potentialYou don’t have to pay…
Definition of SEC N-6 type
What’s the SEC N-6 type? SEC Type N-6 is a type that some belief accounts…
SPDR S&P 500 Belief ETF
What’s the SPY ETF? The SPDR S&P 500 Belief ETF, also referred to as the…
Definition of estimated present yield
What’s an estimated present yield? The estimated present return is the return an investor can…
High 4 Qualcomm Mutual Fund Holders (QCOM)
Qualcomm Inc. (QCOM) is an American multinational semiconductor and telecommunications tools firm based in 1985…
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Top 10 investment themes for 2021
NEW YORK, NEW YORK: This year’s New Year’s celebration will be virtual and closed to…
Belief Funding Fund (EUIT)
What’s an fairness funding fund (EUIT)? An fairness funding belief fund (EUIT) is a standard,…
Ultra-popular QQQ ETF expands family
(0:45) – Strong performance of the Invesco QQQ ETF: what is driving growth?(10:00 a.m.) -…
Foley Regulatory Alert: SEC Modernizes Framework for Valuation of Registered Funds | Foley & Lardner LLP
On December 3, 2020, the Securities and Alternate Fee (“Fee” or “SEC”) introduced the adoption…
Definition of estimated long-term yield
What’s the estimated long-term return? Estimated long-term return is a hypothetical measure that predicts the…
Finra hits another veteran broker for ITU sales
November 23, 2020 by AdvisorHub staff | | | ablokhine | stock.adobe.com The Financial Industry…
Ex-broker charged with murder of client in Texas
Ashley is currently not registered as a broker, according to BrokerCheck. There is a criminal…
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Definition of series 6
What is Series 6? Series 6 is a securities license authorizing its holder to register…
SEC adopts new rule for fund of funds arrangements
Key Notes: The new rule will provide a consistent framework for fund-of-fund arrangements. Recourse to…
The lifespan of 15 millennials no longer makes sense for QQQ’s fate
(Bloomberg) – The longevity of one of the world’s largest exchange-traded funds no longer depends…
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…
News Flash: SEC Adopts Changes to Regulatory Framework for Fund-of-Fund Agreements | Dechert LLP
On October 7, 2020, the Securities and Exchange Commission voted to adopt Rule 12d1-4 under…
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Interval Fund
What is an interval fund? An interval fund is a non-traditional type of closed-end mutual…
ByteDance says TikTok Global is considering public offering
September 21 (Reuters) – Chinese company ByteDance announced Monday that TikTok Global will launch a…
Danish Pensions Investors Raise Unlisted Allowances to 27% | New
Danish pension and insurance providers continued to expand their allocations to unlisted investments in the…
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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…
Motley Fool: Is it rock solid?
Prudential Financial (NYSE: PRU) cares so much about having a solid foundation that it uses…
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…