Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cerulli Global Report: Charities, Pensions Outpace Life Insurers' Demand for Alternative Investments
By Joyce HansonAs charity, endowment, and pension trustees become more sophisticated in their investment strategies, they demanding more from asset managers, says research firm Cerulli Associates in its July report focusing on global trends and data.
July 06, 2010
Fiduciary, Act II: The Good News From the Financial Reform BillFirst the bad news: The Dodd-Frank Act of 2010 does not impose on brokers a fiduciary standard to put the interests of their clients first....
July 05, 2010
As Advisors Use Facebook and Twitter More, Compliance Concerns LoomSocial media have evolved to include marketing, branding, corporate communications of all kinds, and customer relations.
July 02, 2010
SEC Cracks Down on Pay-to-PlayRule prohibits an advisor from providing advisory services for compensation for two years.
July 02, 2010
Jobs Report for June Showed Unemployment Down to 9.5%, but 125,000 Fewer JobsThe widely watched U.S. Labor Department employment report for June disappointed expectations, showing a decline of 125,000 payroll jobs, but it also showed that the unemployment rate edged down to 9.5%.
July 02, 2010
Jeff Montgomery Named Chairman of AFAMcompany formerly known as Al Frank Asset Management, has named its CEO, Jeff Montgomery, as Chairman, effective August 1, 2010.
July 02, 2010
Aite Survey on Financial Planning: Some Advisors Need a BoostA report from Aite Group found that the majority of the advisors surveyed classified themselves as planning-focused, 35%, a segmentation strategy that could become more important as lawmakers move to enact a fiduciary standard.