2014 Broker-Dealers of the Year—Scenario 3: SEC Imposes Fiduciary Standard on Reps
How would top BDs handle this scenario? "In many ways," says Eric Schwartz of Cambridge, "we're in a fiduciary world already."
15 Biggest Political Donors in Financial Industry: 2014
Wall Street banks and financial trade groups have dished out $800 million during the current campaign cycle, Americans for Financial Reform says.
‘Compelling’ Case for Emerging Markets: USAA Expert
There’s lots to feel positive about in markets that don't have frothy valuations.
6 Top Mobile Websites for Investors: Dalbar
Investors who can't get needed information on their phones may decamp to rival firms. Here are six financial firms with a standout mobile experience.
Prudential Retirement Names Reddy Head of Investment
In this newly created role, Srinivas Reddy will be responsible for all aspects of the investment and retirement income businesses.
Top 10 IRA Rollover Destinations
Affluent investors are expected to roll over about $280 billion into IRAs this year. Where is that money going?
High-Risk Trading—Not of Derivatives but of Homes
Whole businesses have sprung up around the concept of home-swapping for vacations, but one thing often lacking is insurance against the additional risk.
LPL Branding Plan: A Work in Progress
The independent broker-dealer ends its CNBC campaign this week and refuses to elaborate on future plans.
10 Best Online Brokerage Firms Ranked by Retail Investors: J.D. Power
Overall satisfaction of Web-based investors is up, though their opinion of firms' fees and trading charges has declined in the past 12 months.
Record Sales for Income Annuities in Q4 2011: Beacon
Setting a record, income annuity sales grew almost 18% in fourth-quarter 2011 and nearly 7% for the entire year, according to a Beacon Research annuity study.