Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Schapiro: SEC Collaborating on Broker/Dealer, Advisor Exams
By Melanie WaddellNew OCIE director to focus on ways to better integrate B/D, advisor, mutual fund exams
January 22, 2010
Selling to the "silver tsunami"As a seasoned producer, you have undoubtedly heard this tip once or twice in your career: Adapt your message to your audience.
January 21, 2010
Morgan Stanley Posts '09 Results; Revenue Up for 18,135 FAsThis news article originally appeared on ResearchMag.com on 1/20. Morgan Stanley says its Global Wealth Management group - which includes the operations of Smith Barney --...
January 19, 2010
UBS' McCann and His Team: Lots of Merrill Lynch Ex'sFormer Merrill Lynch execs hope to improve results at UBS Americas, which includes about 7,300 advisors.
January 19, 2010
Smart MoneyGoldman Sachs Chairman and CEO Lloyd C. Blankfein testified that at Goldman Sachs, "...we do support the extension of a fiduciary standard to broker/dealer registered representatives who provide advice to retail investors."
January 18, 2010
From the SEC's Schapiro, Almost All the Right Words on FiduciaryMuch is being made of SEC Chair Mary Schapiro's testimony in front of the Financial Crisis Inquiry Board on January 14 regarding her comments about...
January 15, 2010
Crisis Culprits to Pay Back Cash?It has been an extraordinary week, by any standard, if you were paying attention to what was happening in Washington regarding the financial crisis.
January 14, 2010
Merrill's Krawcheck on Breakaway Brokers: Just 'Industry Chatter,' Given Low AttritionThe wealth-management executive at BofA says the top-two quintiles of FAs not leaving en masse to join RIA, other channels.