Opponents of a merger between the regulatory operations of NASD and the New York Stock Exchange haven’t given up on their efforts to stop the deal.
Intrigued wirehouse executives who are looking for a change are beginning to check out independent-contractor broker-dealers, and what they see interests them more and more, industry executives, consultants and recruiters say.
Continuing its focus on buying small to midsize firms, Royal Alliance Associates Inc. late last month completed a deal to acquire United Securities Alliance Inc.
A wealthy retired couple in their late 70s enjoyed an annual income of $80,000 but wanted to increase their standard of living.
SAN FRANCISCO — In need of an alternative to lackluster Treasury bond performance, financial advisers are helping a high-yield and low-profile cash product go mainstream.
Some insurers are taking away their advisers’ group health insurance and other employment benefits if proprietary-product quotas aren’t met, advisers say.
It’s unlikely that the crisis in the subprime-mortgage market is going unnoticed by some prominent mutual fund managers.
As exchange traded funds proliferate, ETF producers are getting more aggressive when it comes to pitching product.
The growth of the financial planning profession overseas is in the fast lane, though there are some speed bumps, observers say.
A life insurer known mainly for its fixed annuities has thrown its hat into the variable annuity ring.
