Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Educator Blasts RASFA Fiduciary Responsibility Section
By Arthur D. PostalThe U.S. Securities and Exchange Commission should study investment advisors and broker-dealers carefully before trying to revamp fiduciary responsibility rules, according to American College President Laurence Barton.
December 01, 2009
Commonwealth Financial & Advisors Give, GrowFor its recent national conference in Orlando, Fla., 60-plus Commonwealth Financial Network advisors and staff built townhomes in cooperation with Habitat for Humanity for...
December 01, 2009
Broker/Dealer NewsTo focus resources on its existing qualifying RIAs and attract additional, higher-level advisors, Raymond James Financial Services' Investment Advisors Division (RJFS-IAD) says it is raising...
December 01, 2009
B/D Briefing: Surprise Broker SentimentDays after Sen. Chris Dodd (D-Connecticut), the chairman of the Senate Committee on Banking, Housing, and Urban Affairs, introduced on November 10 a sweeping plan...
December 01, 2009
ING Sells Three B/DsOn November 3, ING said it had agreed to sell three of its U.S. broker/dealers that comprise the ING Advisors Network to Lightyear Capital LLC,...
December 01, 2009
Wirehouse Firms Report Third Quarter '09 ResultsOver the past 12 months, the broker-dealer field has been in a tremendous state of transition. Now after a string of significant mergers and...