Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Global Link Forum on Closed-End Funds and Global ETFs Has Record Attendance
By Ron PechtimaldjianThere was record attendance at the 9th Annual Closed-End Funds and Global ETFs Forum on Wednesday, April 28, held at the Metropolitan Club.
May 07, 2010
S. 3217: More Talk, More AmendmentsSenators are continuing to try to add language to S. 3217, the Restoring Financial Stability Act bill, that could affect matters such as insurer contributions to bailout efforts and the responsibilities of broker-dealers.
May 07, 2010
Phil Demuth, Advisor and Bestselling Author, on Why Roth Conversions Are Falling FlatIt was supposed to be the perfect confluence of events. Tax law changes embedded in the Tax Increase Prevention and Reconciliation Act of 2005 lifted income restrictions on those converting from Traditional IRAs to Roth IRAs in 2010.
May 07, 2010
Penson Worldwide, Prudential, and Sun Life Post Q1 ResultsAs the first-quarter earnings season winds down, Penson Worldwide, Prudential Financial, and Sun Life Financial reported their earnings with mixed results.
May 07, 2010
S. 3217: More Talk, More AmendmentsSenators are continuing to try to add language to S. 3217, the Restoring Financial Stability Act bill, that could affect matters such as insurer contributions to bailout efforts and the responsibilities of broker-dealers.
May 07, 2010
Pioneer Investments, Ivy Funds and Nile Capital Management Unveil New FundsThree U.S. fund providers--Pioneer Investments, Ivy Funds and Nile Capital Management--recently announced new products.
May 06, 2010
Wells Fargo Hires Merrill Manager; Baird Adds from Smith BarneyWells Fargo Advisors tapped Thomas R. Isaacs from Merrill Lynch to serve as the market manager for its New York City branches, while Baird picked up William H. Sewell from Morgan Stanley Smith Barney to open a new office in Raleigh, N.C.
May 06, 2010
Sen. Akaka to File Fiduciary Duty Amendment to Financial Reforms BillWealth Manager has obtained a draft of the amendment. It mandates the extension of the fiduciary standard as it applies to investment advisors under the...