Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Industry Groups to DOL: ‘Clarify’ Fiduciary IRA Request
By Melanie WaddellIndustry 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 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.
January 06, 2012
5 Homework Assignments for the Insurance Industry in 2012What are the five most important challenges that the life & health industry need to tackle now if they are to expect a prosperous 2012?
January 06, 2012
5 Homework Assignments for the Insurance Industry in 2012What are the five most important challenges that the life & health industry need to tackle now if they are to expect a prosperous 2012?
January 06, 2012
Jan. 18 Webinar to Focus on Key Issues, Strategies for Advisors in TransitionUnique data, insights and strategies for advisors considering a change to be addressed in latest AdvisorOne web seminar.