Broker-Dealers

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  1. Articles

    State regulators on one-year deadline to revise broker-fee disclosures

    NASAA working group not going to draw conclusions about whether fees are too high, just how to make them more transparent.

  2. Articles

    The latest data on technology at independent broker-dealers

    A snapshot of tech spending and usage at IBDs

  1. Articles

    Nontraded REIT guidelines too late for some clients

    State securities regulators are making noise about implementing changes to policies that would limit how much a client's net worth could be invested in nontraded real estate investment trusts. Those limits would have helped clients in the case of a Louisiana broker who now has a Finra complaint.

  2. Articles

    The big squeeze: End of the golden era

    Four formidable forces are developing to take assets from the standalone local advisory firm and they are quietly building momentum.

  3. Articles

    New broker working group aims for easy-to-read fee disclosure

    NASAA report on hidden and complicated fee disclosures sparks drive for simple, uniform language.

  4. Articles

    Morgan sets sights on Schwab's financial consultants

    In battle to recruit affordable talent and assets, Morgan Stanley risks legal fallout to pursue discount broker's advisers.

  5. Articles

    Finra plans to revive controversial broker compensation proposal

    The regulator will consider a revised version of a rule requiring brokers to disclose recruitment incentives at its board meeting next week.

  6. Articles

    What IBD consolidation means for advisers

    With high M&A deal pace set to continue, here's how the most common deal structures could affect advisers

  7. Articles

    Helping advisers unlock their full value

    "Time is precious. So it is important to lead a meaningful life." This lesson was delivered with tremendous power to over 5,200 attendees at our firm's annual focus 2014 conference, held recently in San Diego for our clients, sponsors, employees and guests. The messengers on this occasion were Bob

  8. Articles

    RCAP to continue clearing with Pershing

    B-D says new deal will result in cost savings comparable to what it would have realized had it moved clearing in house.

  9. Articles

    SEC takes a hard stance on soft dollar abuses

    The SEC recently announced sanctions against a broker-dealer in New York for ignoring red flags and making improper soft dollar payments to a San Diego-based registered investment adviser. The broker-dealer paid more than $400,000 to the RIA, even though the advisory firm failed to make full ...

  10. Articles

    Second-quarter nonlisted REIT review

    While certain recently closed nonlisted REITs, such as Industrial Income, Griffin-American Healthcare REIT II, Cole Credit Property Trust IV and Corporate Property Associates 17 Global have shown strong operating performance throughout their history, the majority of closed nonlisted REITs have seen

  11. Articles

    Nonlisted REIT 2Q rankings

    Company2Q invested assets ($M)Original share priceCurrent share value1Original distribution rateCurrent distribution rate2Q14 FFO 2 payout ratioInland American Real Estate Trust$10,128.5 $10 $6.94 6.20%5.00%75%Corporate Property Associates 17 Global$4,564.7 $10 $9.50 6.50%6.50%81%Apple ...

  12. Articles

    Possible fee refunds for poor performance spur debate

    Offering refunds on managed-account fees when portfolios lose value grabbed readers' attention this week in the wake of news that TD Ameritrade Inc.'s retail advisory service had gotten the green light to pursue this approach. The hot-button issue drew strong reactions, though it wasn't the first

  13. Articles

    Morgan Stanley dodges $15 million raiding claim

    Charles Scwab's $15 million arbitration claim against Morgan Stanley for hiring brokers from its San Francisco office was rejected.