Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cerulli's Opportunity Index Compares Managed Account Sponsors
By Michael S. FischerAn "opportunity index" to help asset managers focus their distribution efforts is part of Cerulli Associates' new study, "Managed Accounts: Asset Manager Distribution Roadmap," the firm announced on Friday, August 13.
August 22, 2010
Small Investors Fleeing Stocks as Bond Prices SoarInvestors are pulling out of stock mutual funds in droves, though foreign stock funds are still attracting cash.
August 20, 2010
Genworth Study: Advisors Need Proactive Marketing StrategiesA Genworth Financial and Quantuvis Consulting study found advisors are sorely lacking in marketing skills. Fewer than one-third of advisors surveyed said they have a marketing plan. Of those, most aren't fully implementing their plan.
August 20, 2010
FPA Announces Oct. 9-12 Annual Conference Keynote SpeakersThe Financial Planning Association has announced the three keynote speakers who will share their global and domestic financial perspectives at the FPA's October 9-12 annual conference.
August 20, 2010
Raymond James Aims to Boost Client-HQ RelationsRaymond James Financial has named Tim Killgoar director of client experience as part of its efforts to improve communications between investors and the home office of the St. Petersburg, Fla.-based broker dealer.
August 20, 2010
NASAA's Crawford on State Regulation of RIAs, Fiduciary: The Weekend InterviewDenise Voigt Crawford, Texas Securities Commissioner and president of NASAA, says states are "ready to go" in regulating the approximately 4,000 extra advisors that will officially shift next year.
August 20, 2010
New Jersey Note Auction 'Oversubscribed' Despite SEC SuitJust one day after settling allegations of fraud with the Securities and Exchange Commission, New Jersey sold $2.25 billion in short-term notes, a new record.
August 19, 2010
LIMRA: Q2 Annuity Sales RiseTotal annuity sales increased 11% from the first quarter of 2010, the first quarterly increase since the fourth quarter of 2008, LIMRA reported.