Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
B/Ds Warned on Recruiting
By Melanie WaddellSEC Chairman Mary Schapiro sent a letter to broker/dealer CEOs on August 31 reminding them of their supervisory obligations under federal securities laws after recent...
October 01, 2009
Wells Fargo Doubles Recruiting; Starts a New Ad CampaignWells Fargo Advisors Recruited 545 veteran financial advisors in the first eight months of 2008 and has nearly doubled that figure in the same period...
October 01, 2009
Leveraged, Short ETFs Under AttackThe first iteration of leveraged and short ETFs was introduced in 2006. And from that moment, these particular ETFs have captured the fancy of investors...
October 01, 2009
2009 ETF Advisor Hall of Fame: Pioneers in Portfolio ManagementWe proudly present Research magazine's third-annual ETF Hall of Fame. Welcome! There's no question that exchange-traded funds are revolutionizing the investment world. Their proliferation is unstoppable,...
October 01, 2009
B/D Briefing: Conversion TimeOne of the pleasures of being President is that your influence on Americans doesn't end with your term(s). That's certainly the case with George W....
September 22, 2009
Advisors, Assets in MotionAfter the financial turmoil of 2008, the consultancy Cerulli predicts more than $800 billion will be transferred between distributors in 2009 as a result of advisors changing firms.
September 22, 2009
Time for a Transition (I): Changing AffiliationMarie Swift outlines the options available to advisors and the key points worth considering when making a move.