Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Compensation Conversation
By Ellen UzelacWhen it comes to compensation, most advisors will be delighted to put 2009 in the rear view. After all, industry experts are predicting that...
October 01, 2009
2009 ETF Advisor Hall of Fame: Pioneers in Portfolio ManagementWe 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,...
October 01, 2009
B/D Briefing: Conversion TimeOne of the pleasures of being President is that your influence on Americans doesn't end with your term(s). That's certainly the case with George W....
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.