Former Oppenheimer broker suspended for ITU transactions
Aug 3, 2020 A former Oppenheimer broker with 28 years of experience and a clean…
Browsing: Unit Investment Trust
How to understand mutual funds
What is the philosophy of the investment company? An investment company is organized either as…
/128013432-5bfc2b96c9e77c0026b4fb00.jpg)
What is an investment management company?
What is an investment management company? A management investment company is a type of investment…
SagePoint Financial fined over $ 1 million
FINRA ordered SagePoint Financial to pay over $ 1 million in restitution to its clients…
FINRA fines Stifel, Nicolaus & Co for violations involving mutual funds
Stifel, Nicolaus & Co will have to pay a fine of $ 1.75 million, as…
Stifel to pay $ 3.6 million for inappropriate sales of ITU ‘change’
May 28, 2020 ablokhine | stock.adobe.com The Financial Industry Regulatory Authority’s crackdown on allegedly abusive…
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,…
What is an investment company?
investment companyAn investment company is a company that invests pooled assets in securities. Some of…
Cetera’s stockbroker fined $ 1.1 million and restitution for selling mutual funds
Investors Capital Corp., a broker in the Cetera Financial Group network, will pay $ 1.1…
Finra fines Cambridge $ 150,000 over ITU failures
Financial Industry Regulatory Authority (Finra) fined Cambridge Investment Research independent broker network $ 150,000 for…
Oppenheimer & Co to Pay $ 3.8 Million in Compensation for Supervisory Breaches Involving Mutual Funds
FINRA also fined the company $ 800,000 for its failure to reasonably oversee ITU’s early…
Oppenheimer to pay $ 4.7 million for ITU overthrow violations
December 30, 2019 Jantanee Phoolmas / Moment / Getty Images Oppenheimer & Co. has agreed…
The strange and happy story of Voya Corporate Leaders Trust
Depression Baby This story is neither New nor unspeakable. There is, however, more to be…
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 $ 15 million to settle excessive fees with the SEC
Raymond James struck a deal with the Securities and Exchange Commission (SEC) in which the…
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…
SEC accuses Florida RIA of pocketing $ 160,000 in “unwarranted” charges
The Securities and Exchange Commission (SEC) has charged a Fort Myers, Florida-based RIA and its…
/SequoiaForest-cc5de46fcf1140aebdcb6fd791f75bb0.jpg)
Top 3 ETFs for Long-Term Investors
If you are an investor who favors the buy and hold strategy of letting carefully…
/investopedia-social-share-default-ab113c8afd9a439dbc4c68b1926292f4.png)
Terms starting with “U”
Education General dictionary Economy business Finance Roth IRA Actions Mutual fund AND F 401 (k)…
The world’s largest ETF is linked to 11 American millennials
The fate of the largest listed index fund in the world rests on the health…
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…
Wells Fargo Custodians Extend Coverage to ITUs
Wells Fargo’s global manager research team has expanded its research coverage to include mutual funds…
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…
Advisors Asset Management Surpasses $1 Billion in Cohen & Steers UIT Sales
MONUMENT, Col., September 19, 2018 /PRNewswire/ — Advisors Asset Management (AAM) today announced that it…
SmartTrust® further expands its team of experienced UIT wholesalers
PARSIPPANY, NJ, September 5, 2018 /PRNewswire/ — Hennion & Walsh recently hired two outside wholesalers…
/148985994-5bfc2b96c9e77c00519aa74a.jpg)
Definition of the defined portfolio
What is a defined portfolio? A defined portfolio is an investment trust that invests in…
Advisors Asset Management’s High 50® dividend strategy portfolios celebrate 15th anniversary
MONUMENT, Col., June 19, 2018 / PRNewswire / – Advisors Asset Management (AAM), a leading…
What is an ITU and how do you invest in it?
Randy (left) and Paul Watt, co-founders of ITU Investing A mutual fund, like its brother…
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,…
Chicago company introduces research service for unitary investment trusts
A Chicago company says it has created a dedicated mutual fund research service, a niche…
/distributed_ledger_1-5bfc3dff46e0fb00511e44d5.jpg)
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…
Motley Fool: Auto parts profits mean growth
If you want to invest in the auto industry but are concerned that disruption from…
/directly-below-view-of-modern-office-buildings-in-manhattan-fincancial-district--new-york--usa-904377316-7e9979542fab4c5d848eb9b93a554111.jpg)
Definition of real estate investment trust (REIT)
What is a Real Estate Investment Trust (REIT)? A real estate investment trust (REIT) is…
/141251781-5bfc2b9646e0fb00517be167.jpg)
Definition of Trust Unit (UT)
What is a Unit Trust (UT)? A mutual fund is an unincorporated mutual fund structure…
/stock-market-836262076-98a3b5ebf8394b6295b51d45b807944b.jpg)
Closed End Investment Trust (WHFIT)
What is a closed-end investment trust (WHFIT)? An open-ended investment trust (WHFIT) is a type…
/43-shutterstock_146444369-5bfc2b8546e0fb0051bdde87.jpg)
S&P 500 ETF vs. Russell 2000: what’s the difference?
S&P 500 vs Russell 2000 ETFs: an overview If you find yourself on the conservative…
/investing19-5bfc2b8f4cedfd0026c1194c.jpg)
7 simple strategies to grow your portfolio
Although there is a small group of investors who are content to generate income from…
/bonds-lrg-5bfc2b234cedfd0026c104e7.jpg)
Invest in a mutual fund
A unitary investment trust (UIT) is a US investment company that purchases and holds a…
/155571944-5bfc2b9646e0fb005144dd3f.jpg)
Definition of transfer agent
What is a transfer agent? A transfer agent is a trust company, bank, or similar…
/GettyImages-200425695-001-e99a5cf418b34f47a81bc92f63157363.jpg)
How to invest in water
We know that water is the source of life. But it can also be a…
/nyse_ap070917148812-5bfc36e6c9e77c0051826df0.jpg)
What every investor should know
The S&P 500 is probably the most accurate quantifier of the US economy, measuring the…
/GettyImages-996876482-3285bfbbf8a449559e6a266492a93723.jpg)
Mutual funds vs ETFs: similarities and differences
Mutual funds vs. ETFs: an overview Mutual funds and exchange traded funds (ETFs) have a…
How To Buy Mutual Funds | Invest
If you’re used to investing in mutual funds – the regular open-ended variety – you’re…
The disadvantages of the Unit Trust | Finance
The Disadvantages of Unit Trust | Finances – Zacks Home Actions Actions + Funds Funds…
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…
The 7 different ETF structures
Exchange Traded Funds (ETFs) recently took a very big step: at the time of writing,…
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…
UITs continue to grow as assets surpass $100 billion
According to the Investment Company Institute, data on the market value of unit investment trusts…
Unit Investment Trusts (UIT): an introduction
By now, most investors are familiar with exchange traded funds (ETFs) because they have become…
Why mutual funds can be a good investment alternative
According to the Investment Company Institute (ICI), data on the market value of mutual funds…
Are UITs Better Than ETFs?
Warning: Creation of a default object from an empty value in /app/public/wp-content/plugins/EtfDatabase/model.php in line 39Warning:…
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…