Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
PowerShares Corporate Bond ETF Shifts to Fundamental Index
By Kate McBrideMoves from cap-weighted index to fundamental index; the name changes, too.
August 02, 2010
HighTower to Partner With Morse, Towey & White, a 5-Member UBS Team From New YorkIn its continuing drive to welcome breakaway wirehouse brokers to its ranks, HighTower announced its 15th partnership, this time with Morse, Towey & White, a five-member, $1 billion wealth management team from UBS.
August 01, 2010
Advice to the SECWhen it comes to the fiduciary standard, and the six-month study that the SEC will conduct to determine whether brokers should be held to such...
August 01, 2010
Broker/Dealer Briefing News and ProductsDale Brown, CEO of the Financial Services Institute (FSI), testified on June 17 before the U.S. Senate Committee on Health, Education, Labor, and Pensions (HELP),...
August 01, 2010
The FINRA BlotterThe law firm of Sutherland Asbill & Brennan completed in early July its annual review of disciplinary actions brought by FINRA in 2009. By reviewing...
August 01, 2010
Reform's Impact on Advisors, Broker/Dealers, and BanksThe 2010 reform legislation will impact RIAs, the large banks employing wirehouse advisors, and independent broker/dealers. "This is a tough law that will also have profound...
August 01, 2010
The Compliance Coach: Independent Advisors: Don't Violate the ProtocolI've had the privilege of assisting over 1,000 wirehouse brokers in their decision to go independent. There are two major issues for a registered representative...
August 01, 2010
Broker/Dealer Briefing: Facebook and Twitter: Compliance Concerns LoomWhen social networking Web sites such as Facebook, Twitter, and MySpace began, they were devoted to the musings of like-minded individuals--often students--or the following of...