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Wall Street & Technology
November 29, 2004
Maria Santos |
Preparing for Real Time As municipal dealers attempt to meet the Municipal Securities Rulemaking Board's December deadline, Lehman Brothers offers a model solution.   |
Investment Advisor
February 2010 |
Broker/Dealer News Financial Services Industry News: Info on municipal bonds, a promotion at National Financial, and a new office for Sorrento Pacific. |
Investment Advisor
January 2009
Kara P. Stapleton |
B/D Briefings News & Products News, products, and information of interest to broker/dealers. |
Financial Planning
May 1, 2008
Andrew Ackerman |
Muni EMMA The Municipal Securities Rulemaking Board launched a pilot version of EMMA, a free, centralized online portal that will eventually provide investors with real-time disclosure and price information on municipal securities. |
Registered Rep.
July 15, 2011
Kristen French |
SIFMA Wants Fiduciary Standard Governed By Client Contracts Broker/dealer trade group SIFMA fired off the latest round in the ongoing tangle over the fiduciary standard Thursday. The group sent a letter to the SEC that recommends creating for broker/dealers a modified version of the fiduciary standard that currently governs investment advisers. |
Investment Advisor
October 2010
Bob Clark |
The Empire Steps Up The Financial Planning Coalition's letter on the Securities and Exchange Commission's "Study Regarding Obligations of Brokers, Dealers and Investment Advisers" will knock your socks off. |
Financial Advisor
July 2004
Gail Liberman |
Muni Bond Funds Vs. Individual Bonds A new study says the funds are cheaper if you actively trade. |
On Wall Street
February 1, 2013
Alan J. Foxman |
Proposed FINRA Procedures May Let Brokers Expunge Records Advisors may be able to erase mark against them from disputes in which they were not directly named. |
Financial Advisor
January 2005
Raymond Fazzi |
Flying Blind In The Bond Market Bond price reporting is improving, but many brokers still hide costs. |
On Wall Street
March 1, 2013
Kenneth Corbin |
FINRA Cracks Down on Suitability Broker-dealers and advisors recommending complex, high-yield products to see more scrutiny. |
Registered Rep.
June 19, 2012
Diana Britton |
Whose Suitability Standards? In early 2011, the SEC completed a study, mandated under Dodd-Frank reform legislation, which recommended extending to brokers who advise retail clients the same fiduciary standard that now applies to investment advisors. |
Registered Rep.
April 15, 2015
Megan Leonhardt |
Regulators Concerned B/Ds Recommending Unsuitable Products to Seniors With seniors more dependent than ever on their investments for retirement, regulators have found a number of broker/dealers may have recommended unsuitable products and not adequately disclosed risks. |
Financial Planning
January 1, 2005
Humberto Sanchez |
The Muni Market Morgan Stanley pays for violating the disclosure rule in failing to disclose to purchasers of municipal bonds that the bonds could be called prior to their maturity dates. |
On Wall Street
October 1, 2008
Donna Mitchell |
Auction-Rate Securities Dust Settles, But What About Small Brokerages? Observers expect red faces as regional brokerage customers are left out of the settlements and advisors better prepare for some harsh words. |
Investment Advisor
June 2008
Melanie Waddell |
A Long, Hot Regulatory Summer Rules from the SEC on credit ratings agencies, 12b-1, soft dollars, and hedge funds |
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. |
Financial Planning
June 1, 2008
Dakin Campbell |
UBS to Exit Muni Biz UBS confirms reports that it will exit or sell the institutional municipal securities group in an effort to focus on core client businesses after reporting first-quarter 2008 losses of $11 billion. |
Registered Rep.
May 7, 2010
Kristen French |
Bulk Up On Disclosure, Shock Aborbers Needed, Says Ketchum The industry must move forward to improve the quality and kinds of disclosures firms provide to clients, particularly disclosures about the services provided. |
Investment Advisor
November 2009
Melanie Waddell |
B/D News A new managed account program... Moves by the SEC... |
Financial Planning
November 1, 2007
Matthew Posner |
The Bond Buyer The advent of municipal exchange-traded funds this fall brought to the muni market a late September launch of a service offering real-time municipal bond pricing. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You: Part 2 By giving the investing public access to information, and serving as a regulator with the power to take action to correct problems, the SEC works hard to protect investors. |
Registered Rep.
June 9, 2008 |
Credit Downgrades, More Write-Downs And The ARS Market Credit downgrades to MBIA and AMBAC Financial Group, the world's largest bond insurers, will lead to more write-downs at Citigroup, Merrill Lynch and UBS, according to a new research report. |
BusinessWeek
April 1, 2010
Martin Z. Braun |
Can the SEC Get Its Street Cred Back? Elaine Greenberg is investigating abuses in the muni bond market, as the commission tries to rebuild trust. |
Investment Advisor
May 1, 2011
Melanie Waddell, AdvisorOne |
Fair Play: The Fight Over Rule 206(4)-5 Advisors are confused -- and angry -- over the SEC's new pay-to-play rule |
Financial Advisor
February 2012
Marla Brill |
Muni Bond ETFs Join The Charge For Yields Despite some concerns, investors are being drawn to muni bond ETFs for diversification, transparency and low costs. |
Registered Rep.
May 1, 2004 |
Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing. |
Investment Advisor
March 2010
James J. Green |
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC. |
Investment Advisor
August 2005
Thomas D. Giachetti |
Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners. |
CFO
July 15, 2009
Vincent Ryan |
Buyer's Remorse Treasury departments are still paying a price for auction-rate securities. |
On Wall Street
August 1, 2012
Alan J. Foxman |
FINRA's New Suitability Rule I'm a compliance officer for a small brokerage firm. I'm a little confused by FINRA's new suitability rule. What, if anything, extra does it require us to do? |
Financial Planning
February 1, 2010
Donald Jay Korn |
Individual Issues With savvy strategies and new research, planners can use individual municipal bonds to provide low-risk, predictable cash flow to clients. |
Registered Rep.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
BusinessWeek
May 12, 2011
Elizabeth Ody |
While Muni Fund Investors Flee, Others Pounce Fiscal crises in states and cities have prompted big withdrawals from muni-bond funds. Investors with more risk tolerance are being lured by yields near 4 percent. |
Financial Planning
September 1, 2008
Andrew Ackerman |
SEC Probes Wachovia The Securities and Exchange Commission enforcement staff has notified Wachovia Bank that they may recommend the SEC file charges against it, as a result of an investigation into alleged anti-competitive bidding practices. |
The Motley Fool
September 19, 2007
Zoe Van Schyndel |
Muni Madness The first municipal bond ETFs are on the market. With low expense ratios, and tax-exempt interest, they represent an interesting way to invest in muni bonds. |
IndustryWeek
September 1, 2005 |
Finance: True To Reform New rules affecting the ways companies offer and register securities are slated to take effect on Dec. 1, 2005. |
Financial Advisor
September 2012
Maureen Nevin Duffy |
2012: Seeking Yield More investors are piling into muni bonds, but certain cities face intractable economic difficulties. |
U.S. Banker
June 2011
Glen Fest |
OCC: Show Us the Munis Agency officials are concerned about the heavy concentration of municipal holdings in some major banks. |
Investment Advisor
February 2010 |
Upgrades News regarding RIAs, mutual funds, and ETFs. |
Finance & Development
September 2011
Rabah Arezki et al. |
Municipal Fallout U.S. state bond markets are not insulated from each other but are from the federal bond market. |
Investment Advisor
October 2009
Chris Ryon |
Not Quite So Risky Business If your clients are invested in municipal bonds, you'd better brush up on how the recession has affected the pricing of those bonds. An exploration of credit risk and pricing in the muni market. |
The Motley Fool
November 19, 2010
Dan Caplinger |
Has the Next Meltdown Begun? The municipal bond market is feeling the hurt. |
Registered Rep.
November 1, 2005
Lauren Barack |
Will Reform Drive Brokers From 529 Sales? Emerging from 529 college savings plan hearings is a proposal for new disclosure guidelines aimed at giving consumers more knowledge about various plan choices at the point of sale. However, these guidelines may drive reps and financial advisors out of the 529 business. |
The Motley Fool
September 24, 2007
Amanda B. Kish |
Muni Bond ETFs Take Center Stage If you are looking for a cheap way to get into the municipal bond market, some of these new Muni Bond ETFs might be right for you. |
BusinessWeek
September 23, 2010
Levitt & Turner |
How to Clean Up the Muni Bond Market Solutions to defaulting bonds, unfunded liabilities, and fraudulent investment information. |
Financial Planning
March 1, 2005
Abigail LaCroix |
News Digest Amex Suffers Separation Anxiety... AIG Advisor Group Consolidates and Re-brands... Revenue Sharing Boosts Fund Sales... AARP Pans Personal Retirement Accounts... Aligning Muni Rules with NASD Guidelines... etc. |
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. |
Financial Planning
July 1, 2010
Donald Jay Korn |
Handle With Care What could go wrong in the muni market? There are many possibilities. Spreads could widen, interest rates could increase or an upgrade in bond ratings could leave investors paying more for their munis. |
Investment Advisor
July 2009
Jonathan Henschen |
Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way. |
Wall Street & Technology
January 20, 2008
Cory Levine |
Fixed-Income Products Fail to Go Fully Electronic New research reveals that not all types of fixed income securities are experiencing rapid electronification. |
