Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FPA Announces Oct. 9-12 Annual Conference Keynote Speakers
By Willette FrancisThe Financial Planning Association has announced the three keynote speakers who will share their global and domestic financial perspectives at the FPA's October 9-12 annual conference.
August 20, 2010
New Jersey Note Auction 'Oversubscribed' Despite SEC SuitJust one day after settling allegations of fraud with the Securities and Exchange Commission, New Jersey sold $2.25 billion in short-term notes, a new record.
August 19, 2010
LIMRA: Q2 Annuity Sales RiseTotal annuity sales increased 11% from the first quarter of 2010, the first quarterly increase since the fourth quarter of 2008, LIMRA reported.
August 19, 2010
MSRB Seeks Comment on Dealers That Act as AdvisorsThe MSRB is seeking comment on amendments to MSRB Rule G-23 that will prohibit municipal securities dealers that act as financial advisors on new issues of municipal securities from serving as an underwriter for the same issue, the MSRB says.
August 19, 2010
BofA Merrill Lynch Survey: Fund Managers Still Cautious, but Less BearishBearish sentiment about the outlook for the global economy and corporate earnings has eased, according to the BofA Merrill Lynch Survey of Fund Managers conducted in early August.
August 19, 2010
Stocks Drop on Higher Jobless Claims, Lower Philly ManufacturingTroubling U.S. jobless claims figures and a lackluster manufacturing report out of the Philadelphia area drove the equities markets lower and Treasury prices higher as investors ran for cover in thin trading Thursday, August 19.
August 18, 2010
Vanguard's New Target Date Fund Takes Aim at Gen Y'ersGen Y investors will be able to take advantage of Vanguard's latest offering, the Vanguard Target Retirement 2055 Fund.
August 18, 2010
MBA Says Mortgage Refinancings at Highest Point in Over a YearThe Federal Reserve's recent decision to keep the U.S. economy on track by buying longer-term Treasury notes already appears to have garnered at least one positive effect: the rate at which homeowners are refinancing their mortgages.