Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
A Shot in the Dark
By Kate McBrideHow do registered representatives decide what to charge clients for their services? There are published prices for trades through various discount brokers who certainly have...
October 01, 2007
The Future of Fee-Based AccountsA collision of regulatory events has given a boost to the industry's move toward a fee-based business model -- with some pundits predicting dramatic change...
September 21, 2007
SEC Changes Principal Trading RuleThe SEC announced September 20 a temporary rule regarding principal trades with investment advisory accounts, Section 206(3) of the Advisers Act, which is intended to make October 1 compliance with the rollback of the Broker/Dealer Exemption Rule, which exempted brokers from regulation as an investment advisor even when they were...
September 21, 2007
Cambridge Makes Changes at the TopAt Cambridge Investment Research, Eric Schwartz will add chairman of the board to his CEO mantle and has promoted COO Amy Webber to president of the firm he founded 26 years ago, effective immediately.
September 21, 2007
SEC Responds To Court DecisionThe U.S. Securities and Exchange Commission has agreed to adopt a temporary rule that will help financial services companies cope with a court ruling that ...
September 21, 2007
SEC Responds To Court DecisionThe U.S. Securities and Exchange Commission has agreed to adopt a temporary rule that will help financial services companies cope with a court ruling that ...
September 20, 2007
SEC Enacts Rules For Bank Broker-DealersEight years after passage of the Gramm-Leach-Bliley Financial Services Modernization Act, the U.S. Securities and Exchange Commission and the Federal Reserve Board have adopted rules ...
September 19, 2007
New Job Picture for '07For the first time in four years, U.S. employment contracted as a result of huge drops in construction and manufacturing payrolls, reports Jeff Testerman of BrokerHunter.com. Fears that the slowdown i