Broker Dealers
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S. 3217: Fiduciary Standard In Play
By Arthur D. PostalSen. Robert Menendez has been on the Senate floor trying to round up support for the idea of imposing a fiduciary standard of care on all sellers of retail investment products.
May 06, 2010
Contrary Positions at ICI Meeting Over Impact of Fiduciary Standard on Mutual Fund IndustrySome mutual fund execs say broad fiduciary mandate would 'damage' the industry
May 06, 2010
Former Treasury Chief O'Neill Speaks to Fiduciary Crowd at fi360 ConferenceShould government officials be fiduciaries too?
May 06, 2010
At fi360 Meeting, Blaine Aikin Thanks SEC for Goldman SuitDiscussion at fi360 centers on fiduciary movement; will the '40 Act fiduciary standard be extended by Congress?
May 06, 2010
Fiduciary Practices Front and Center at fi360 ConferenceDiscussion at fi360 centers on fiduciary movement and possible extension of fiduciary standard in the 1940 Act
May 06, 2010
S. 3217: Fiduciary Standard In PlaySen. Robert Menendez has been on the Senate floor trying to round up support for the idea of imposing a fiduciary standard of care on all sellers of retail investment 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 05, 2010
Four Communications Secrets from the Emily Post InstituteNow more than ever before, financial advisors - like other professionals - can benefit from improving their communications skills, says Peter Post.