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The Motley Fool
May 3, 2010
Dan Caplinger |
Do These ETFs Work After All? Research suggests criticism of leveraged ETFs may be unfair.   |
The Motley Fool
May 20, 2004
Tim Beyers |
American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest? |
Registered Rep.
July 1, 2004
Gregg Wirth |
It's the Advice, Stupid The NASD's probe definitely has many brokers and branch managers in the industry nervous. They are unsure exactly what regulators are looking for, what constitutes a violation and what, if any, penalties could be levied. |
Investment Advisor
May 2007 |
Group Think The AML Source Tool helps broker/dealers comply with legal and regulatory requirements relating to anti-money laundering... The FPA has a new partner... The American Library Association and the NASD Investor Education Foundation are... etc. |
Investment Advisor
March 2006
Melanie Waddell |
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable. |
Financial Planning
November 1, 2008
Donald Jay Korn |
ETFs After the Fall The impact of the equities market shocks in September and October on ETF asset accumulation isn't yet known; and what the impact of the change in the general investment climate this fall will be on ETFs is anybody's guess. |
The Motley Fool
September 26, 2007
Amanda B. Kish |
The Most Expensive ETFs You'll Never Need As more and more of these funds are being rushed to market, expenses on some ETFs have begun to creep up. In fact, some ETFs now charge more than many actively managed mutual funds. Why are some of these funds so expensive? |
The Motley Fool
July 14, 2010
Tom Lydon |
Leveraged ETFs: Useful, but Be Careful Make sure you know what you're doing. |
Registered Rep.
April 7, 2005
Kristen French |
NASD Advocates More Disclosure, Less Paper Broker/dealers and their reps may get a big break on point-of-sale disclosure if the Securities and Exchange Commission heeds recent NASD advice. |
Investment Advisor
March 2007
Kara P. Stapleton |
News & Products National Financial announced February 1 that it is expanding its alliance program... NASD has warned older Americans about the potential downside of selling their existing life insurance polices... The SEC has authorized improvements to the NASD... etc. |
Registered Rep.
June 1, 2004 |
10 Years Ago in Registered Rep NASD warnings, again. |
Registered Rep.
August 1, 2006 |
The Broker-Dealer Exemption: Good or Bad for the Investing Public? (Oy, This Still Hasn't Been Resolved?) True financial advisors -- those who hold Series 65s and Series 66s, and who are fiduciaries -- aren't too happy that Series 7-holders have been able to cast themselves as financial advisors. |
Registered Rep.
June 1, 2012
Diana Britton |
Breaking Out: A New Era in Insurance Insurance firms constantly go through cycles of acquisition and sale when it comes to their broker/dealer subsidiaries. But the current sell cycle is different, and it may shake up how the business works. |
Registered Rep.
May 5, 2010
Kristen French |
Small B/Ds in A Crunch, Expect More Closures, Mergers In 2010 Squeezed by investor lawsuits, rising compliance and insurance costs, as well as departing advisors and clients, some of the industry's smallest independent broker/dealers are struggling to stay afloat. |
Investment Advisor
June 2008
Philip Palaveev |
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. |
Investment Advisor
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
Investment Advisor
May 2006
Ryan G. Murphy |
B/D Briefing: News & Products Fines, Complaints, Mergers: The NASD fined American General Securities Inc... NASD announced the promotion of James Shorris... Raymond James Financial selected PlanningStation... etc. |
Financial Advisor
February 2012 |
Cetera Buys Genworth's Tax And Accounting Unit Genworth's tax and accounting financial advisory unit, Genworth Financial Investment Services, was sold last month to Cetera Financial Group, an independent broker/dealer network serving approximately 5,000 financial advisors. |
The Motley Fool
April 9, 2010
Brian Orelli |
Double Your Biotech Returns! Really! Taking a closer look at leveraged biotech ETFs. |
Registered Rep.
January 3, 2008
Christina Mucciolo |
SEC's RAND Study Released The SEC release the results of the RAND study, which examined how broker/dealers and investment advisors market products and services to investors, and how investors understand the differences between investment advisors and broker/dealers. |
Investment Advisor
June 2009
James J. Green |
Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive |
Registered Rep.
January 1, 2005 |
I'm A Broker, You're A Broker At most publicly traded national broker/dealers, about 35 percent of employees are called financial advisors. |
Financial Advisor
August 2006
Matthew Hougan |
Too Much Of A Good Thing? Do the new leveraged ETFs have a place in the financial advisor's toolbox? |
Financial Advisor
May 3, 2010 |
Advisor Emporium News: Automatic 401(k) Plans Growing... ProShares Offers Inverse ETFs... First Allied Launches Fund Allocator... Curian Adds New Investment Strategies... Advisor Partners Upgrades Portfolio Program... Van Eck Offers Small-Cap Investments... more... |
Registered Rep.
October 1, 2004
David A. Gaffen |
Sharp Words for the NASD From Raymond James' Averitt The CEO directed biting criticism towards NASD regulators currently investigating fee-based advisory practices. Advisors also pointed out that the asset allocation and investing processes are being left out of the equation. |
Registered Rep.
August 31, 2004
David A. Gaffen |
Sharp Words for the NASD By Raymond James' Averitt Dick Averitt of Raymond James Financial Services had some particularly harsh words for the National Association of Securities Dealers over fee-based accounts in a speech at RJFS' semiannual financial conference on Monday morning. |
Investment Advisor
February 2009 |
A New Benchmark for Advisors With many advisors using an asset allocation strategy, the S&P 500 is no longer a great benchmark against which to set your pace. Take a look at these new benchmarks. |
Registered Rep.
May 1, 2005
Kristen French |
Scandal Scorecard: Mutual Funds on Top With the SEC and NASD recently levying more than $80 million in fines to five firms (for transgressions related to revenue sharing and B shares), mutual fund sales practices officially sit on the front burner. |
Registered Rep.
July 23, 2012
Diana Britton |
Virgin Banks Few community banks and credit unions offer wealth management services to their customers. But many of these firms are struggling and looking for new sources of income. Broker/dealers are finally tapping these untouched firms with revenue-sharing partnerships. |
Registered Rep.
October 26, 2004
David A. Gaffen |
Citi Fined by NASD for Hedge Fund Marketing Citigroup was censured and fined, but neither admitted nor denied the charges. A company spokeswoman said the firm "took immediate action in cooperating fully with the NASD to make sure all materials comply with current NASD guidance." |
Registered Rep.
November 5, 2003
Will Leitch |
NASD: Brokerages Owe $86M To Investors The summer 2003 scandal involving unpaid breakpoints -- sales-charge discounts that mutual fund companies provide investors who put in a certain amount in a selected fund -- might have been dwarfed by the market-timing scandal, but the SEC and the NASD haven't forgotten about it. |
The Motley Fool
May 21, 2008
Dan Caplinger |
Triple Your Returns? Don't Bet on It Leveraged ETFs don't deliver the results many investors are expecting over the long haul. |
Registered Rep.
January 22, 2007
John Churchill |
Votes In, NASD and NYSE Merger Likely; Will Dissenters Challenge? The securities industry won't have dual self-regulatory organizations to complain about anymore. The NASD announced over the weekend that member firms overwhelmingly approved to consolidate the NASD and the NYSE into one. |
Registered Rep.
March 1, 2007
Kevin Burke |
The New SRO Plans for the NYSE/NASD regulatory consolidation are moving quickly toward an April 2 deadline. But executives question whether the proposed governance structure for the consolidated regulator could change the nature of regulation in the industry for the worse. |
Investment Advisor
October 2007
Neal Ringquist |
Tech Tools There are a number of reoccurring concerns that rank high among the challenges that today's financial services institutions and advisory firms are looking to address. A software company president discusses how to solve those niggling problems stunting your growth. |
Investment Advisor
September 2008
Eric Schwartz |
B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future. |
Registered Rep.
April 1, 2007 |
Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over. |
Registered Rep.
February 1, 2006
Kristen French |
Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so. |
Registered Rep.
January 30, 2007
Halah Touryalai |
At Independent B/D Confab, Optimism and Skepticism The head of the Financial Services Industry Institute is feeling a little more comfortable with regulators. But, on the other hand, the chairman of the FSI also warns that the combining of the NYSE and NASD might create a power struggle among "second-level" regulatory staffers. |
Investment Advisor
May 2008
Melanie Waddell |
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers. |
Investment Advisor
September 2007
Kathleen M. McBride |
Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities. |
Financial Advisor
June 2009
Sherri Scordo |
Advisor Emporium Genworth Financial Wealth Management is enhancing its investment management platform to help advisors through the current challenging market |
On Wall Street
June 1, 2011
Carl Resnick |
ETFs: The Ideal Asset Allocation Tool? True diversification has become the primary focus of smart advisors. To the benefit of these advisors and their clients, a wide range of well-built exchange-traded funds has emerged to represent just about every asset class available. |
The Motley Fool
May 13, 2011
Dan Caplinger |
When Inverse ETFs Make Sense If you ever need a bet against a particular market, take a closer look to see whether unleveraged inverse ETFs might be the right way to play. |
Registered Rep.
January 1, 2005
David A. Gaffen |
Third Time Is a Harm A NASD proposal first announced in 2003 requires that reps with three or more formal complaints against them receive extra supervision from their firms. Most major broker/dealers are already operating as if the rule were in place. |
The Motley Fool
December 21, 2011
Dan Caplinger |
How Did All These ETFs Drop in 2011?! Leveraged ETFs again were a losing long-term bet. |
Registered Rep.
January 23, 2011
Kristen French |
SEC Recommends Strict Fiduciary Standard For Broker/Dealers An SEC study released over the weekend could represent a major push towards a more uniform regulatory framework for the fragmented wealth management business. |
Investment Advisor
June 2006
Kathleen M. McBride |
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways. |
Investment Advisor
June 2007
Kara P. Stapleton |
News & Products NASD has fined two Fidelity broker/dealers for preparing and distributing misleading sales literature... The broker/dealers of ING plan to lower fees that their advisors pay on two core advisory programs... etc. |
The Motley Fool
June 4, 2010
Saletta & Caplinger |
Are ETFs the Best Way to Short the Market? As part of our special series on short-selling, two Motley Fool analysts look at whether short ETFs are the best. |
