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Schwab, TD Ameritrade may form DC lobbying duo on fiduciary issue
Two archrivals in the discount-brokerage and custodial business, Charles Schwab & Co. Inc. and TD Ameritrade Holding Corp., may be teaming up to lobby Washington over the fiduciary issue.
"Responsible teen’ not an oxymoron
By at least one measure, today's teenagers are more responsible than their parents were.
Big banks redrawing custodial landscape
JPMorgan Chase & Co. and Bank of America Corp. may be giants of the financial services world, but they're retrenching when it comes to serving independent advisers.
Muni ETFs gain popularity, but are they a good fit?
Exchange-traded funds that invest in municipal bonds are gaining in popularity, but some industry watchers think that mutual funds are a better option.
Saving with Suze and TD Ameritrade
This month, personal-finance celebrity and talk show host Suze Orman, appeared on cable television's QVC to launch the “Save Yourself Retirement Program” and an alliance with TD Ameritrade Holding Corp., which is offering an incentive for people to save.
Axa exec replacing Casady as chairman of VA trade group
The Insured Retirement Institute last week chose James A. Shepherdson, executive vice president of Axa Equitable, as the group's chairman.
E-Trade completes $150 million stock offering
E-Trade Financial Corp. said Wednesday it has completed a $150 million “at the market” stock offering. In an…
ETFs make "statement’
Talk about state pride.
E*Trade reports record brokerage accounts for 3Q
E-Trade Financial Corp. announced today it will set aside less money for bad loans in the third quarter compared with the second quarter as it reported increased trading volume for August.
E-Trade board authorizes stock sale of up to $150M
Online broker E-Trade Financial Corp. said Monday it is proceeding with a plan to sell up to $150 million worth of common stock.
Fidelity plans to waive commissions on new RIA assets, cut tech fees
Fidelity Investments, responding to The Charles Schwab Corp.'s June announcement of price reductions for independent advisers and their clients, is rolling out a competing program with a few extra twists.
E-Trade Financial CEO to leave at end of the year
Retail brokerage firm E-Trade Financial Corp. said its chairman and CEO, Donald Layton, will step down from his positions at the end of the year when his contract expires.
E-Trade gains in heavy trading after debt swap
Shares of online brokerage E-Trade Financial Corp. rose in heavy trading Friday, the first day holders of its bonds can convert debt into equity, said a Raymond James analyst.
Some fear brouhaha over ETFs could spill over
The Securities and Exchange Commission and the Commodity Futures Trading Commission inserted themselves into the debate surrounding controversial, non-traditional exchange traded funds last week — a debate that could harm the entire ETF sector, according to some industry insiders.
E*Trade stockholders approve debt exchange
Online broker E*Trade Financial Corp. said today shareholders at a special meeting voted to proceed with a $1.7 billion debt exchange plan.
E*Trade’s monthly volume falls 4% in July
Retail brokerage firm E-Trade Financial Corp. said Wednesday daily trading volume fell 4 percent in July, while total customer assets fell by 15 percent.
Vanguard registers for seven bond ETFs
The Vanguard Group Inc. last week filed a registration statement with the Securities and Exchange Commission to offer seven bond index exchange traded funds in what some industry experts think will be a direct challenge to iShares, the dominant fixed-income ETF provider.
Galvin demands answers from firms that sell inverse and leveraged ETFs
Massachusetts regulators sent subpoenas to four brokerage firms July 31 seeking information about the way they sold inverse and leveraged exchange traded funds. The subpoenas were issued weeks after the firms restricted the sale of the products or stopped selling them altogether.
TD Ameritrade’s ARS settlement excludes RIAs
TD Ameritrade Holding Corp.'s agreement with regulators last week to buy back $456 million of auction rate securities from individual investors, charities and small-business clients leaves registered investment advisers out in the cold.
TD Ameritrade keeps lid on RIA metrics
TD Ameritrade Holding Corp. reported a better-than-expected fiscal-third-quarter profit last week, but company executives had little to say about the firm's business for servicing independent registered investment advisers.
