Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
White Paper: Buy-and-Hold Has Failed; Dividends Preferable
By Marlene Y. SatterAccording to a white paper released by WBI Investments, "The Unconventional Dividend Based Investment Approach," the strategy touted so much over the years to investors to buy and hang onto stocks within their portfolios is no longer valid
August 20, 2010
FPA Announces Oct. 9-12 Annual Conference Keynote SpeakersThe 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
Raymond James Aims to Boost Client-HQ RelationsRaymond James Financial has named Tim Killgoar director of client experience as part of its efforts to improve communications between investors and the home office of the St. Petersburg, Fla.-based broker dealer.
August 20, 2010
NASAA's Crawford on State Regulation of RIAs, Fiduciary: The Weekend InterviewDenise Voigt Crawford, Texas Securities Commissioner and president of NASAA, says states are "ready to go" in regulating the approximately 4,000 extra advisors that will officially shift next year.
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.