Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
2009 ETF Advisor Hall of Fame: Pioneers in Portfolio Management
By Jane Wollman RusoffWe proudly present Research magazine's third-annual ETF Hall of Fame. Welcome! There's no question that exchange-traded funds are revolutionizing the investment world. Their proliferation is unstoppable,...
September 22, 2009
Advisors, Assets in MotionAfter the financial turmoil of 2008, the consultancy Cerulli predicts more than $800 billion will be transferred between distributors in 2009 as a result of advisors changing firms.
September 22, 2009
Time for a Transition (I): Changing AffiliationMarie Swift outlines the options available to advisors and the key points worth considering when making a move.
September 22, 2009
What Advisors Can Teach the SECInstead of lashing out at broker-dealers, the SEC should begin to examine how the brokerage industry has moved ahead of the curve to re-shape recruitment packages and to tie performance and asset retention to bonuses.
September 21, 2009
McCann Upbeat about Brokers; Hoping for One Set of RulesHe believes there should be one and only one set of rules for all advisors, regardless of what type of broker-dealer or RIA arrangement they have.
September 18, 2009
Voluntary Market Firing Up: EastbridgeConfidence in the future of the voluntary industry has rebounded since the end of 2008, a study finds.
September 14, 2009
Retail Sales and Business Inventories Rose in AugustRetail sales jumped higher in August than in the previous five months while business inventories saw their biggest rise in two years and business sales also rose after tumbling downward for two months, the U.S. Commerce Department reported Tuesday.
September 13, 2009
Minnesota's new viatical settlements law: Find it hereThis article contains a link to Minnesota's new viatical settlements law, which contains stipulations for licenses of brokers and providers in this market.