Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Woodbury's Brian Murphy Takes FSI Chair
By Staff WriterWoodbury Financial Services Chairman Brian Murphy will chair the Financial Services Institute's (FSI) board of governors for 2008, according to a January 2 FSI announcement.
January 01, 2008
New Year's DelusionsHere we go again... another brand new year. Along with a new number to forget to write on our checks, there are many positive things...
January 01, 2008
Up to the ChallengeBoomers have come of age to retire and that event, alone, has sparked an epiphany. Until we took notice of the fact that the oldest boomers...
January 01, 2008
Big Brokers and PlanningNow that fee-based brokerage accounts are forbidden, some major brokerage firms are finding that the shift to investment advisory accounts, financial planning, and the Certified...
January 01, 2008
NEWS & PRODUCTS, JANUARY 2008Standard & Poor's is set to launch three U.S.-based Credit Default Swap (CDS) indexes which wil be focused on the $28.8 trillion Credit Derivatives Market....
December 01, 2007
Growing DiversityThe securities industry continues to make workforce diversity a priority, according to the Securities Industry and Financial Markets Association's (SIFMA) 2007 Report on U.S. Workforce...
December 01, 2007
2007 Advisor Hall of FameWelcome to Research magazine's Advisor Hall of Fame, now in its 17th year. This eagerly anticipated annual feature has become a benchmark of excellence in...
December 01, 2007
NEWS & PRODUCTS, DECEMBER 2007The Financial Industry Regulatory Authority (FINRA) fined Oppenheimer Co., Inc. $1 million for "submitting mutual fund breakpoint data to FINRA that the firm knew to...