March 1, 2006

Articles

It's Not Just About the Trade

Mar 1, 2006 12:00 PM, BY CHRISTOPHER O'LEARY

The custody and clearing industry is shrinking. For registered investment advisors and reps alike, that's a good thing....

The New Big Board—Or Is That Screen?

Mar 1, 2006 12:00 PM, BY JOHN CHURCHILL

Technology will play an even bigger role in execution after the merger of the NYSE and Archipelago Holdings is completed this month...

Living with Reg SHO

Mar 1, 2006 12:00 PM, BY DAVID WEISS

Brokers need to stay on top of the new rules governing short sales...

Current Issue

Promises Will Be Broken

By Addison Wiggin
November 1, 2008

Are you factoring future Social Security payments into your clients’ financial plans? Bad idea.

Featured Book

Cannon’s Concepts For Professionals: A Complete Library of Essential Financial Concepts

This reference book was updated for 2008 and now contains over 900 pages of information on essential financial concepts and wealth management strategies for your work with wealthy clients. The book not only contains brief summaries of each topic, but it also contains many useful diagrams and charts that can be used with clients when explaining difficult financial concepts. The information in this book meets current FINRA/NASD guidelines....