Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Delphi Hearing in House
By Arthur D. PostalThe U.S. government bailout of General Motors (GM) and Chrysler, and especially the disparate retirement treatment given to GM and Delphi workers, was alternatively lauded and disparaged during a politically-charged hearing before the House today.
July 06, 2012
It’s Not Too Late to Make Your Voice Heard on SRO BillIf youre not in favor of having FINRA become the SRO for RIAs, join the advisor grass-roots effort to advocate with Congress against Bachus bill.
July 05, 2012
Brokers, Get Ready: Suitability Rule Set to Take EffectFirms that are already concerned about the recommendations made to clients based on their existing portfolios now have this new wrinkle: the prospective customer, lawyer Brian Rubin says.
July 03, 2012
Why a Floating NAV for Money Market Funds Is a Bad IdeaSEC Chairman Schapiros suggestion would drive up the cost of investing and doing business by imposing new record-keeping and tax reporting requirements.
July 02, 2012
HighTower Adds Ex-UBS Team; Baird Grabs Merrill, Morgan FAsThe former UBS team should go independent with about $330 million in assets, while the advisors joining Baird could bring about $460 million in AUM and $3.2 million in yearly fees and commissions.
June 29, 2012
LPL, Baird Stage Major Volunteer ProjectsRaymond James plans a large community-focused effort for August.