WHEATON, Ill.--(BUSINESS WIRE)-- First Trust Advisors L.P. (“FTA”) announced today that the Board of Trustees (the “Board”) of First Trust Exchange-Traded Fund VIII (the “Trust”) voted to terminate ...

Gladstone Investment Corporation (NASDAQ:GAIN), a $490 million market cap company with an impressive 12.5% dividend yield, announced today that it has entered into a new investment advisory and ...

The SEC charged the Advisers with four separate violations of the Investment Advisers Act of 1940 (the Advisers Act). Combined, the Advisers ...

The Swiss Helvetia Fund's stockholders approved a new investment advisory agreement and objective changes, with plans for a special cash distribution. The Swiss Helvetia Fund, Inc. held a special ...

WHEATON, Ill.--(BUSINESS WIRE)--First Trust Advisors L.P. (“FTA”) announced today that the shareholders of First Trust Smith Opportunistic Fixed Income ETF (formerly known as First Trust TCW ...

A “hedge clause,” when incorporated into an investment advisory agreement, is designed to limit an adviser’s liability to its advisory client. Even carefully worded hedge clauses, however, can attract ...

Registered Investment Advisors (RIAs) were the focus of a recent SEC Investor Advisory Committee meeting over mandatory arbitration provisions. Legal professionals, investor advocates, and government ...

Just two months ago, shareholders voted for change at the 2025 FINS Annual Meeting and DID NOT APPROVE an identical new investment advisory agreement to the one before shareholders at the upcoming ...

Angel Oak Financial Strategies Income Term Trust (NYSE: FINS) (the “Fund”) announces that it has filed an investor presentation with the U.S. Securities and Exchange Commission in connection with the ...

WHEATON, Ill.--(BUSINESS WIRE)--First Trust Advisors L.P. (“FTA”) announced today that the Board of Trustees (the “Board”) of First Trust Exchange-Traded Fund VIII (the “Trust”) voted to terminate the ...