Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fiduciary Expert Ron Rhoades on the Status of the Broker/Dealer Exemption
By Kate McBride(This story originally appeared on WealthManagerWeb.com) Whatever happened to the repeal of the broker/dealer exemption allowing brokers to give advice to customers--but not require a fiduciary...
May 10, 2010
Global Link Forum on Closed-End Funds and Global ETFs Has Record AttendanceThere was record attendance at the 9th Annual Closed-End Funds and Global ETFs Forum on Wednesday, April 28, held at the Metropolitan Club.
May 10, 2010
Ron Rhoades: Whatever Happened with the B/D Exemption?WealthManagerWeb Exclusive: Fiduciary expert Ron Rhoades talks with WM Editor in Chief Kate McBride about what happened to the repeal of the broker/dealer exemption on advice.
May 07, 2010
DOL, SEC's Target Date Fund Guidance Is ReleasedNew guide first in a three-step process; EBSA mulling definition of fiduciary
May 07, 2010
S. 3217: More Talk, More AmendmentsSenators are continuing to try to add language to S. 3217, the Restoring Financial Stability Act bill, that could affect matters such as insurer contributions to bailout efforts and the responsibilities of broker-dealers.
May 07, 2010
Phil Demuth, Advisor and Bestselling Author, on Why Roth Conversions Are Falling FlatIt was supposed to be the perfect confluence of events. Tax law changes embedded in the Tax Increase Prevention and Reconciliation Act of 2005 lifted income restrictions on those converting from Traditional IRAs to Roth IRAs in 2010.
May 07, 2010
Penson Worldwide, Prudential, and Sun Life Post Q1 ResultsAs the first-quarter earnings season winds down, Penson Worldwide, Prudential Financial, and Sun Life Financial reported their earnings with mixed results.
May 07, 2010
S. 3217: More Talk, More AmendmentsSenators are continuing to try to add language to S. 3217, the Restoring Financial Stability Act bill, that could affect matters such as insurer contributions to bailout efforts and the responsibilities of broker-dealers.