Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
NFIB Index Shows Optimism of Small Businesses at 19-Month High
By Joyce HansonBut April rebound is not enough to pull small businesses out of economic slump, economists say
May 11, 2010
Fidelity Separates Asset Management From DistributionAbigail Johnson promoted to head all of distribution; Ronald O'Hanley hired to lead asset management and corporate services.
May 10, 2010
WealthManagerWeb Exclusive: Fiduciary Expert Ron Rhoades on the B/D ExemptionWhatever happened to the repeal of the broker/dealer exemption allowing brokers to give advice to customers--but not require a fiduciary duty to those clients?
May 10, 2010
UBS, CFP Name New Head of CFP's Council on EducationThe Certified Financial Planner Board of Standards and UBS Wealth Management announced Monday, May 10, that Mark Kordes, head of wealth planning for UBS in the United States, will serve as the new chairman of the CFP Board's Council on Education.
May 10, 2010
Fiduciary Expert Ron Rhoades on Status of Broker/Dealer ExemptionThe B/D exemption from fiduciary duty to customers lives on, but legislation may change that.
May 10, 2010
Fiduciary Expert Ron Rhoades on the Status of the Broker/Dealer Exemption(This story originally appeared on WealthManagerWeb.com) Whatever happened to the repeal of the broker/dealer exemption allowing brokers to give advice to customers--but not require a fiduciary...
May 10, 2010
Federal Reserve Reopens 'Dollar Liquidity Swap Facilities'The Federal Reserve and Swiss National Bank will temporarily reopen "U.S. dollar liquidity swap facilities
May 10, 2010
Financial Select Sector SPDR Roars Back as Markets RecoverThe Financial Select Sector SPDR (XLF) rose more than 5.7% on Monday, May 10, to beat the performance of the S&P 500 and the Dow.