Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Dodd Reform Bill POV: Harvey Pitt, Former SEC Chairman
By PovBefore the Senate passed its reform bill, the Restoring Financial Stability Act, on Thursday, May 20, former SEC Chairman Harvey Pitt, who's now the CEO of Kalorama Partners, detailed his viewpoints on financial services reform to Investment Advisor.
May 20, 2010
Commonwealth Financial Updates CMS; Improves Info Flow for AdvisorsCommonwealth Financial Network has released a revised version of its CRM 4.0 contact management system that includes two-way wireless synchronization, an updated Web-based calendar,...
May 20, 2010
Fidelity Says 401(k) Contributions and Balances IncreaseFidelity Investments, the nation's largest provider of workplace retirement savings plans, reported Wednesday, May 19, that its average account balance rose 41% to $66,900 by the end of first quarter of 2010.
May 20, 2010
Lipper Research Finds Islamic Funds' Results Are Sharply HigherIslamic funds invested in the Gulf Cooperation Council (or GCC, which includes several Arab states on the Persian Gulf) sharply improved their position in Lipper rankings, according to a recent report.
May 20, 2010
FDIC Reports Strongest Bank Results in Two YearsDespite market wobbles, the Federal Deposit Insurance Corporation (FDIC) released a piece of good news that some analysts count as further proof the worst is behind us.
May 19, 2010
Pax World Enters 'Sustainable' ETF Space with ESG SharesPax World Funds, a sustainable- investing firm, announced Wednesday, May 19, that it launched ESG Shares, what it claims is the first family of exchange traded funds devoted exclusively to a "sustainable investing approach."
May 19, 2010
Fed Favors 5-Year Payoff of $1.2 Trillion in Mortgage-Backed AssetsA majority of Federal Reserve policymakers are in no hurry to raise interest rates or sell off the central bank's $1.2 trillion in mortgage-backed securities (MBS) holdings.
May 19, 2010
Cambridge Survey: Wealthy Families Report What's on Their MindsHigh-net-worth individuals and families share many portfolio concerns with not-for-profit organizations, but differences between the two groups exist as well, according to a Cambridge Associates survey released Monday, May 17.