Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Ed Jones Survey Says: Americans Want to Save
By Janet Levaux'Increase savings' ranks as the top financial priority for Americans in 2010, according to an Edward Jones survey of 1,000 individuals.
December 15, 2009
Time for a Transition (IV): Using Special Events to Boost BusinessTom McCarthy, affiliated with Commonwealth Financial, uses LifeBio system to build rapport with current clients and special guests - a great "next generation" strategy for smart advisors nationwide.
December 15, 2009
FA Outlook for 2010: Demand to Remain StrongAs bedlam gives way to calm, top advisors should like the new order at the wirehouse, regional and independent broker-deals.
December 14, 2009
Partisanship on SteroidsPassage of the financial reform legislation in the House is historic and important. It may also be, unfortunately, short-lived in the current, toxic partisan environment.
December 11, 2009
Financial Reform Bill Approved: House Vote Is 223-202FINRA will not have oversight of advisors associated with B/Ds, for now.
December 11, 2009
IAA Applauds Removal of FINRA Provision from Regulatory Reform BillInvestment Adviser Association Executive Director David Tittsworth issued a statement of approbation.
December 11, 2009
FINRA Provision Deleted From Reform BillThe provision that would have given FINRA the authority to inspect and regulate any investment advisor associated with a broker/dealer was successfully deleted from the huge financial services reform bill on December 11.
December 11, 2009
House Approves Financial Reform BillThe full House approved by a vote of 223 to 202 today, December 11, the sweeping financial services reform bill, the Wall Street Reform and Consumer Protection Act (H.R. 4173).