Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
BDs Beware: Social Media Privacy Laws May Conflict With FINRA Rules
By Melanie WaddellLegislation that limits access to social media information may pose significant challenges for a large number of broker-dealers, lawyers from Sutherland Asbill & Brennan wrote in a Law360 article.
July 10, 2012
The Times Editorial, Fiduciary Duty and the Levitt RuleWhat is unethical? Not a broker-dealer that sells proprietary product, but one that just meets fair-dealing suitability rules while simultaneously telling investors that We always place our clients first.
July 10, 2012
Delphi Hearing in HouseThe U.S. government bailout of General Motors (GM) and Chrysler, and especially the disparate retirement treatment given to GM and Delphi workers, was alternatively lauded and disparaged during a politically-charged hearing before the House today.
July 10, 2012
Report: Annuity Inflows Processed by DTCC Rose to $7.5 Billion in MayThe report reveals that annuity inflows processed by the DTCC in May increased to $7.5 billion from $7.4 billion in April. Similarly, outflows processed in May increased by almost 4% to over $6.4 billion from less than $6.2 billion in April.
July 10, 2012
Report: Annuity Inflows Processed by DTCC Rose to $7.5 Billion in MayThe report reveals that annuity inflows processed by the DTCC in May increased to $7.5 billion from $7.4 billion in April. Similarly, outflows processed in May increased by almost 4% to over $6.4 billion from less than $6.2 billion in April.
July 06, 2012
It’s Not Too Late to Make Your Voice Heard on SRO BillIf youre not in favor of having FINRA become the SRO for RIAs, join the advisor grass-roots effort to advocate with Congress against Bachus bill.