The 2012 Broker-Dealer Presidents’ Poll
By John Sullivan, Liana RobertsInvestment Advisor magazine asked the presidents at top broker-dealers about challenges to their business, their reps and their futures.
May 22, 2012
Hearing on Bachus' SRO Bill Set for June 6The House Financial Services Committee announced Wednesday that it will hold a hearing on June 6 on the redraft of Rep. Spencer Bachus bill calling for an SRO to oversee advisors.
May 18, 2012
Schwab, Envestnet Join Forces in Data Integration DealAdvisors using the solution will see dramatic gains in their ability to serve clients and scale businesses more profitably, said Stuart DePina, group president of Envestnet | Tamarac.
May 17, 2012
How to Buy Facebook Without All the RiskAs demand skyrockets for Facebooks new shares, advisors plan to jump into this investing product that will give clients exposure to the hot social media IPO without too much volatility.
May 17, 2012
FINRA Updates BrokerCheck With More Advisor InformationSeveral of the changes implemented by FINRA address recommendations made in a January 2011 study by the SEC.
May 16, 2012
Call for Entries to AdvisorOne’s Top Wealth Manager SurveyRIA firms are invited to participate in the 12th annual Top Wealth Managers survey and ranking, this year with a twist.
May 16, 2012
Consider Scott Simon’s Modest Proposal to ‘Solve’ the Fiduciary IssueWhy shouldnt an ERISA standard, the Morningstar Advisor columnist asks, be imposed on both RIAs and brokers?
May 15, 2012
HighTower’s Weissbluth, IA 25 Honoree, Touted on CNBCInvestment Advisor magazines IA 25 honoree, HighTower Advisors CEO Elliot Weissbluth, celebrated his selection on CNBCs Squawk on the Street program.