Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
As SEC Fiduciary Comment Deadline Arrives, Groups Polish Responses
By Melanie WaddellMonday, August 30, marks the last day the Securities and Exchange Commission (SEC) officially accepts comment letters regarding the study the securities regulator is to conduct on putting brokers under a fiduciary standard of care.
August 29, 2010
Bond Bubble Debate Bubbles OverLong-term investors and those seeking safety not found these days in the stock markets have been fleeing to bonds, giving rise to speculation about a "bond bubble."
August 27, 2010
Schwab IMPACT Conference Registration Outpacing 2009Charles Schwab IMPACT 2010 Conference will focus on technology at the annual conference from October 26-29, as advisor registration has already outpaced last year's numbers, according to Schwab on Thursday.
August 27, 2010
Nasdaq OMX and DWS Investments Roll Out Volatility Target IndexThe Nasdaq OMX Group Inc. and DWS Investments, the U.S. retail unit of Deutsche Bank's global asset management division, have launched a new benchmark designed to provide exposure to the Nasdaq-100 Index in a risk-controlled manner.
August 27, 2010
GDP Revised Sharply Downward in Q2; Consumer Sentiment a Bit HigherA revised estimate of second-quarter GDP on Friday, August 27, showed that the economy grew at 1.6% annual pace, down sharply from the government's first estimate of 2.4%.
August 27, 2010
Using Managed Futures in Rough Markets - Part IA little-known portfolio tool can help advisors reduce risk for their clients in severe market slides, financial experts say.
August 27, 2010
Eight Questions to Ask About Roth IRA Conversions: ADVICE ColumnIs a Roth conversion in your client's best interest--or is it a roll of the dice?
August 27, 2010
TD Ameritrade's Tom Bradley Looks Back on 25 Years With Company: The Weekend InterviewBradley offers insight on the rise of the RIA industry and where it's headed next.