Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FA Outlook for 2010: Demand to Remain Strong
By Mark ElzweigAs bedlam gives way to calm, top advisors should like the new order at the wirehouse, regional and independent broker-deals.
December 11, 2009
IAA Applauds Removal of FINRA Provision from Regulatory Reform BillInvestment Adviser Association Executive Director David Tittsworth issued a statement of approbation.
December 11, 2009
FINRA Provision Deleted From Reform BillThe provision that would have given FINRA the authority to inspect and regulate any investment advisor associated with a broker/dealer was successfully deleted from the huge financial services reform bill on December 11.
December 11, 2009
House Approves Financial Reform BillThe full House approved by a vote of 223 to 202 today, December 11, the sweeping financial services reform bill, the Wall Street Reform and Consumer Protection Act (H.R. 4173).
December 10, 2009
Advisors look to independent firmsIf you're thinking of striking out on your own and becoming an independent advisor, you're not alone. A recent survey by Charles Schwab of advisors...
December 09, 2009
Morgan Stanley: Five Questions for a Top Retirement AdvisorA conversation with Trevor Mathias, Financial Advisor, Morgan Stanley Smith Barney, Chicago
December 09, 2009
UBS Shifts to 'Bucket Planning'One of the enduring debates among financial advisors has been the preferability of the traditional asset allocation method versus the "bucket approach" to retirement-income planning. In...
December 09, 2009
Reform Debate on Fiduciary Standard for FAs Heats UpPerhaps the most controversial aspect of the bill would require brokers, and any other financial professionals holding themselves out as advice-givers, to adhere to a fiduciary standard similar to that of registered investment advisors.