Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Panel OKs Investor Protection Act Bill
By Arthur D. PostalMembers of the House Financial Services Committee have voted 41-28 to approve H.R. 3817, the Investor Protection Act, and insurance producer groups are still worried that the bill will hurt their members.
November 01, 2009
Hybrids on the RiseThe September issue of The Cerulli Edge--U.S. Asset Management Edition, from the Boston-based research firm Cerulli Associates, found that asset managers have reacted to the...
November 01, 2009
Merrill's Big PlansHelp, and the "importance of culture at this organization," are what Sallie Krawcheck spoke of on October 5th at her first press conference as president...
November 01, 2009
Fox River Launches ETF PlatformFox River Execution has collaborated with Barclays Global Investors by introducing a new ETF trading platform that provides a comprehensive system for competitive, real-time...
November 01, 2009
Making a DifferenceCEO-PRESIDENT, AMERICAN FINANCIAL NETWORK, Calabasas, CALIF.; AUM: $1.2 billion HIS FIRM'S FOCUS: "We bridge the gap between businesses and the people who own them." Here's...
November 01, 2009
'Time for Something Real' at the Wirehouses, Says Industry ConsultantTiburon Strategic Advisors, led by Chip Roame, just wrapped up its 17th semi-annual Tiburon CEO Summit in mid-October in San Francisco. (It will host...