Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC's CIO to Retire
By Janet LevauxCharles Boucher, head of IT for the Securities and Exchange Commission and a former Morgan Stanley executive, is set to leave the financial-services field.
July 13, 2010
CFP Board Survey Shows Americans More Concerned About Finances Than Two Years AgoAs the CFP Board prepares to celebrate its 25th anniversary on July 17, a new survey released Tuesday, July 13, reveals that two-thirds of Americans (66%) believe that the U.S. economy will hold steady or improve over the next six months.
July 13, 2010
Hartford 'Top 10 Investment Themes for 2010' Report Card Puts Dr. Bob 'On Probation'In a mid-term report card that reviews "Top 10 Investment Themes for 2010," "Dr. Bob" of The Hartford Mutual Funds, gave himself one A grade, four Bs, one C, no Ds, and four Fs for a variety of investing strategies in the first volatile half of 2010.
July 13, 2010
CFA Institute Announces Appointments to GIPS Executive CommitteeThree new members will join the GIPS Executive Committee in September, the CFA Institute announced Tuesday, July
July 13, 2010
UBS Hires Citigroup's Revsine as Derivatives StrategistUBS AG hired Mitchell Revsine, an options strategist from Citigroup Inc., as the U.S. derivatives strategist in New York.
July 13, 2010
U.S. Trade Gap Widens in May; Budget Deficit Shrinks in June, but Still Above $1 TrillionU.S. economic reports released Tuesday, July 13, showed that the trade deficit grew in May to more than $42 billion and the federal government ran a budget deficit of $68 billion in June.
July 12, 2010
Morgan Stanley Attracts Seven Advisors from RivalsThe new Morgan Stanley Smith Barney FAs may bring over close to $5 million in yearly commissions and fees and nearly $560 million in client assets from UBS and Charles Schwab.
July 12, 2010
2010 Top Wealth Managers: The Regulatory Breeze From WashingtonRegulatory uncertainty was often cited as one of "three most critical risks to your firm" by the RIAs who participated in Wealth Manager's 2010 Top Wealth Managers annual survey.