U.S. Securities and Exchange Commission & Mutual Fund Newsletter
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Under Trump, the SEC should open up private markets to retail investors
01 Apr 2025 04:38 GMT
… for chair of the Securities and Exchange Commission is to show how … retail investors. By modernising SEC regulations, the administration … regulatory burdens. The SEC’s requirement that fund … SEC can foster innovation by enabling funds to offer both mutual fund …
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LPL to 'bend' to become more like Commonwealth, Steinmeier says
31 Mar 2025 22:47 GMT
… in March last year over Securities and Exchange Commission allegations that it had failed … from its recommendations of certain mutual fund products. In its appeal of …
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Sprott Physical Platinum and Palladium Trust Updates Its “At-The-Market” Equity Program
31 Mar 2025 21:34 GMT
… the “Trust”), a closed-ended mutual fund trust created to invest and … with the United States Securities and Exchange Commission (the “SEC”) on September 6, 2024 … available on EDGAR at the SEC's website at … are available at www.sec.gov and www.sedarplus.ca …
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First Trust Enhanced Equity Income Fund Issues Notice Regarding March 2025 Distribution
31 Mar 2025 20:31 GMT
… exemptive relief received from the Securities and Exchange Commission which permits the Fund to … -traded funds, closed-end funds, mutual funds and separate managed accounts. FTA … is also a distributor of mutual fund shares and exchange-traded fund …
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ETF frenzy hits fever pitch with 1,000 new launches forecast for 2025
31 Mar 2025 18:09 GMT
… , mostly at the expense of mutual funds. If the breakneck speed of … ETF assets pie.
Should the Securities and Exchange Commission approve a way for issuers … fund share classes of their mutual funds, a widely expected development with …
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‘Game over’ for ESG investing due to Trump backlash? Analysts say no
31 Mar 2025 15:47 GMT
… into the overall universe of mutual funds and ETFs in 2024, Morningstar … Economics wrote.
The Republican-led Securities and Exchange Commission on Thursday said it would …
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Victory Capital Closes on Transaction to Become Strategic Partner with Amundi
01 Apr 2025 05:20 GMT
… remains strong, with 62% of mutual fund AUM rated 4- or 5 … Company’s filings with the SEC.
Such forward-looking statements are … investment products and services, including mutual funds, ETFs, separately managed accounts, alternative …
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How To Find The Right Financial Advisor — 10 Key Questions To Ask
31 Mar 2025 13:58 GMT
… products they sell, such as mutual funds, insurance policies, or annuities. … oversight agencies such as the Securities and Exchange Commission, the Financial Industry Regulatory Authority … FINRA’s BrokerCheck and the SEC’s Investment Adviser Public …
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Calamos Announces Cap Ranges Of Principal Protected Bitcoin Etfs April Series On The Heels Of A Successful Inaugural Launch
31 Mar 2025 12:54 GMT
… firm offers strategies through ETFs, mutual funds, closed-end funds, interval funds … registration statement filed with the Securities and Exchange Commission is effective. Each fund…
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The Hartford Expands Roles For Two Key Executives
31 Mar 2025 11:11 GMT
… casualty insurance, employee benefits and mutual funds. With more than 200 years … filings we make with the Securities and Exchange Commission. We assume no obligation to …
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