FSI Endorses FINRA as SRO for Investment Advisors
By James J. GreenThe association of independent broker-dealers recommended that the SEC choose FINRA as the SRO for RIAs.
January 25, 2011
Feb. 10: Live Discussion, Webcast on SEC's Fiduciary StandardNew Date: Feb 10 from 10 AM to 12 Noon.
January 24, 2011
SIFMA Supports SEC’s Fiduciary Standard, but Concern LingersIn the wake of Friday night’s announcement by the SEC that it would require a uniform fiduciary standard for both broker-dealers and advisors, SIFMA said that it supported such a standard, with caveats.
January 20, 2011
2010 Q4 Earnings: BNY Mellon Misses Expectations; Pershing Fees RiseBank of New York Mellon reported Q4 profits of $0.55 per share, missing analysts’ expectations for earnings of $0.57. The bank’s Pershing unit said revenues rose though profits fell.
January 19, 2011
Risk, Wealth Managers, and Fear of the UnknownWhile uncertainty isn’t gone, the mists in some areas are parting.
January 18, 2011
Gemini Launches ‘Due It Yourself’ Due Diligence CenterGemini Fund Services LLC., a provider of pooled investment vehicles to independent advisors, announced Tuesday that it has launch of a new Due Diligence…
January 18, 2011
Top 10 Shout-Outs for the New YearAdvisors like Elissa Buie, Dick Wagner and Mary Malgoire weigh in with advice for 2011.
January 17, 2011
Fidelity Offers Advisors Manpower HR and Recruiting HelpFidelity has expanded its advisor practice management program through a new HR and recruitment deal with Manpower, says practice management chief David Canter.