Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Makers of Champagne, Chocolates, Artisanal Foods Go Green but Not Mean
By Marlene Y. SatterChampagne, chocolate, and local foods all boast environmental benefits.
September 01, 2010
Wells Fargo Moves to Fix Tax-Withholding IssueThe bank began letting legacy Wachovia advisors set their own tax-withholding level on commissions in August, after automatically withholding 25% for the past seven months.
September 01, 2010
NAIFA Letter Protests SEC Fiduciary ProposalEliminating the broker-dealer exclusion from fiduciary requirements could result in a substantial increase in "frivolous litigation," NAIFA has told the SEC.
September 01, 2010
The Final Word: Mightier Than the SwordFor a long time, humans have understood that "The pen is mightier than the sword." In 16th century England, the adage was "No more sword...
September 01, 2010
NAIFA Letter Protests SEC Fiduciary ProposalEliminating the broker-dealer exclusion from fiduciary requirements could result in a substantial increase in "frivolous litigation," NAIFA has told the SEC.
September 01, 2010
SEC Warns Credit Ratings Agencies That Dodd-Frank Gives It More Powers Over Ratings FraudNRSROs should implement sufficient internal controls over policies, procedures, and methodologies used to determine credit ratings.
September 01, 2010
SLCG Study: Leveraged and Inverse ETFs Are Short-Term InvestmentsInvestors risk serious losses for holding periods longer than a day or two.
September 01, 2010
Guaranteed Life Benefits Popular Among Q2 Variable Annuity PurchasersPart of the reason for variable annuities' increased popularity in the second quarter may be explained by the success of guaranteed living benefit riders.