Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Point of View: Lawyer Mark Plotkin on Dodd Reform Bill
By Gil Weinreich, Gil WeinreichThe bill brings an excess of regulation at a time when the financial industry is still rebuilding, says the Washington, D.C.-based attorney, who specializes in financial services.
May 22, 2010
Why an Optimistic FPA President, Tom Potts, Wants Regulation: The Weekend InterviewFPA President Tom Potts expanded on that foundation-building work in a follow-up interview, along with FPA CEO Marv Tuttle, with Investment Advisor on May 12, before the Senate passed Senator Christopher Dodd's financial services reform bill.
May 21, 2010
IMCA Honors Five Investment Management Consulting ProfessionalsInvestment Management Consultants Association (IMCA) presented awards to five industry veterans during its annual conference in Orlando, the organization announced Tuesday, May 18.
May 21, 2010
Envestnet's $100 Million IPO Comes as Advisors Seek More Market TransparencyEnvestnet Inc., a Chicago-based investment technology provider, has filed for an initial public offering of common stock with the Securities and Exchange Commission (SEC) in hopes of reaping a $100 million cash infusion.
May 21, 2010
Dodd Reform Bill POV: Dr. Lewis Altfest, CEO of Altfest Personal Wealth ManagementThe Senate passed its version of financial services reform, S. 3217, on Thursday, May 20, by a 59-39 vote. After the sweeping reform bill passed, Dr. Lewis Altfest gave his opinion on the bill to John Sullivan, Editor in Chief of AdvisorBiz.com.
May 21, 2010
Senate Passes Dodd Reforms; Fiduciary Standard Not IncludedThe House financial reform bill includes a provision that will require brokers to adhere to a fiduciary duty, while the Senate bill does not.
May 21, 2010
Fiduciary Standard Absent from Senate Reform BillBut broker/dealers and insurers may see better informed retail investors vote with their heads and feet.
May 21, 2010
Dodd Reform Bill POV: Dale E. Brown, Financial Services Institute PresidentThe Senate passed its version of the financial services reform bill on May 20. Before the reform bill passed, Dale E. Brown gave his opinion on the pending bill to Robert F. Keane, Managing Editor of Investment Advisor.