Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FSI Reports Record Attendees for Annual OneVoice Conference
By James J. GreenMore than 600 registrants and 65 exhibitors already for Jan. 23-25 conference for independent broker-dealer advocacy group.
January 16, 2012
Industry Groups to DOL: ‘Clarify’ Fiduciary IRA RequestIndustry trade groups told the DOL in a Jan. 12 letter that it would be impossible for them to provide data concerning conflicts of interests that brokers face in advising IRAs by Jan. 15.
January 16, 2012
Fiduciary Debate: What if Doctors Could Act Like Advisors?Wherein our intrepid blogger applies the logician's reductio ad absurdum argument to the current debate over applying the fiduciary standard to brokers, or not.
January 13, 2012
Apologies for the Technical DifficultiesTo our valued readers: Sincere apologies for the technological difficulties at LifeHealthPro this week.
January 12, 2012
Raymond James to Buy Morgan Keegan for $930 MillionThe final purchase price is tied to the retention of advisors, while the overall deal includes special provisions related to legal issues and costs.
January 11, 2012
IRS Reopens Offshore Tax Disclosure ProgramWealthy get a third chance to come clean, after previous programs collected more than $4.4 billion.
January 09, 2012
Cetera Financial to Acquire Genworth FIS Broker-DealerFirm that focuses on tax professionals as advisors will become fourth BD at Cetera.
January 09, 2012
SEC Changes Policy on Admission of Guilt in Fraud CasesThe new policy, according to the SEC, does not require admissions or adjudications of fact beyond those already made in criminal cases, but eliminates language that may be construed as inconsistent with admissions or findings that have already been made in the criminal cases.