Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Despite SIFMA Talk, Caveat Emptor Lives
By Kate McBrideWill SIFMA's proposed "federal fiduciary standard" and disclosure requirement water down the standards as they exist currently for investment advisors and ERISA fiduciaries?
July 14, 2009
Five Core Principles of the Authentic Fiduciary StandardLeaders in the investment industry have called on Congress to "adopt an authentic fiduciary standard in Wall Street reforms," and offered "five core principles" to help clear up what fiduciary means for investors.
July 13, 2009
Fidelity Enhances Broker WorkstationStreetscape platform to add Thomson Reuters capabilities
July 12, 2009
Another Benefit of Independence: SelectivityThings have been very busy lately and business is booming. There comes a time though when you need to take a breather. I decided I...
July 10, 2009
Ameriprise Hit with SEC Enforcement ActionAmeriprise Financial Services, Inc., has agreed to pay the Securities and Exchange Commission $17.3 million to settle an enforcement action.
July 09, 2009
Art Lures NAHU AttendeesAflac Inc. commissioned a painting of its spokesduck to get the attention of the agents and brokers attending the recent National Association of Health Underwriters convention in New York.
July 08, 2009
Senior Market Advisor editor brings home the goldSenior Market Advisor managing editor, Andy Stonehouse, was honored July 9 in Kansas City, Mo., at the American Society of Business Publication Editors 2009 Western Region Awards. Stonehouse took home a Gold Award for Investigative News Analysis for