Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SIFMA Weighs In on SEC Fiduciary-Standard Study
By Janet LevauxThe six-month SEC study is required by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
September 02, 2010
CFA Institute Board Names Margaret Franklin as New ChairChartered financial analyst Margaret E. Franklin has been elected chair of the board of governors of CFA Institute. Franklin is president and CEO of Kinsale Private Wealth in Toronto.
September 02, 2010
RBC Index Shows Consumer Confidence Is FallingConsumer confidence fell to a six-month low, according to the RBC Consumer Outlook Index.
September 02, 2010
Vanguard ETFs Top iShares in Advisor Loyalty, Cogent Research FindsStudy found that Vanguard ETFs capture about $5.5 million in assets per advisor vs. $5.7 million for iShares.
September 02, 2010
SEC Sets Up Temporary Registration for Municipal AdvisorsThe Securities and Exchange Commission (SEC) on Thursday, September 2, adopted a temporary rule that allows municipal securities advisors to get a jump start on registering with the Commission.
September 02, 2010
Life Settlements Shaped by Regulation, Underwriting, MarketsAlthough they took a hit from the recession and from factors endemic to a relatively young product, life settlements are on their way back up, according to stories from NU Online News Service.
September 02, 2010
SEC Charges North Carolina BD With Anti-Money Laundering ViolationsPinnacle Capital Markets also assessed penalty by FinCEN.
September 02, 2010
Ernst & Young Gets Into Capital Markets BusinessThe accounting and consulting firm Ernst & Young LLP is getting into the "transaction and capital advisory services" business, starting up a new broker-dealer, Ernst & Young Capital Advisors, LLC (EYCA).