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Fiduciary BDs Could See Higher Insurance Bills  

Jul 9, 2010

By Jerry Gleeson

Will a broader application of the fiduciary standard be accompanied by higher insurance costs? Some broker/dealers are bracing for the possibility. ...

For 401k Advisors, Comp Models Must Change 

Jul 8, 2010

By Michael Stillman

New regulation under ERISA section 408(b)(2) is expected to be released in the fall of 2010 and take effect in 2011. One key consequence of these regulations is level pricing for financial advisers (FAs) who provide services to 401(k) plans. ...

Compensation 2010. Crisis? What Crisis? 

Jul 7, 2010

By David A. Geracioti

Though 2009 comp was way off from 2008, on average, financial advisors' compensation has, for the most part, returned to pre-crash levels. Expectations are high for a resumption of growth for 2010....

Top Crusading SRI Funds To Invest In 

Jul 6, 2010

By Stan Luxenberg

Socially responsible funds all seek to invest in businesses that are good corporate citizens. But the funds rarely agree on which stocks pass the test. The Gulf oil spill has served to highlight the differences in strategies. ...

Will Your Clients’ Money Last Through Retirement? Researchers Find Answers In Genes  

Jul 2, 2010

By Jerry Gleeson

It’s the unanswerable question every investor eyeing retirement, and his financial advisor, seek an answer to—How many years do I have to live? New genetic research may narrow the variety of possible answers to that question significantly. ...

New Technology Lets MetLife Love The Little Guy  

Jun 30, 2010

By Jerry Gleeson

MetLife is making new inroads with what some call the “mass retail” investor segment. Six months after launching a platform that welcomes clients with as little as $10,000 to invest, the MetLife Broker-Dealer Group has accumulated $160 million in AUM on that platform, says Jeffrey Wilk, vice president of Investment and Advisory Product Management. ...

Clients, Though Mostly Satisfied, in the Dark about FA Fees, Says Study  

Jun 30, 2010

By Christina Mucciolo

“Most brokers want to do right by their client, but there is a difference between doing right by their client and acting in their best interest.” ...

The New Sheriffs In Town 

Jun 29, 2010

By Halah Touryalai

Under reform legislation, RIAs with less than $100 million in assets will no longer be regulated by the SEC. State regulators will step in. Will states be more successful than the SEC?...

Investors More Sophisticated, but Still Buying and Selling at Wrong Times  

Jun 28, 2010

By Stan Luxenberg

In recent years, shareholders have become smarter fund shoppers. But too many still buy and sell at the wrong times, says Don Phillips, Morningstar’s managing director....

The Final Wall Street Reform Bill And You  

Jun 25, 2010

By Kristen French

Updated Sunday, June 27. The full bill is now available. After a herculean 20-hours straight of negotiations, Congressional committee members agreed Friday morning to a Wall Street reform package that will be much tougher on the country’s banks....

Vanguard Broadens ETF Platform  

Jun 25, 2010

By Jerry Gleeson

Considered by some to be a latecomer to the ETF party, Vanguard yesterday beefed up its exchange traded fund and mutual fund offerings. In keeping with its philosophy of shaving costs for investors, the expense ratio on the 500 Index Fund ETF is a niggling 0.06 percent. ...

Congress Says SEC Can Create Fiduciary Standard For Brokers  

Jun 24, 2010

By Kristen French

Senator Tim Johnson accepted a final counter-offer from the House this afternoon on the subject of fiduciary duty in Wall Street reform. ...

Too Much Client Hand-Holding, Not Enough Prospecting  

Jun 23, 2010

By Halah Touryalai

The nervous-client-syndrome has yet to wear off. That’s according to a new survey that says most advisors are still spending the majority of their time with existing clients rather then generating new business....

Boston Private Builds A Better Balance Sheet  

Jun 21, 2010

By Jerry Gleeson

Is Boston Private Financial Holdings making a comeback? After a string of unsuccessful RIA acquisitions, soured loans at its private bank division, and a drawdown of $154 million in federal TARP aid, the RIA consolidator’s outlook was glum. Now there are signs that things are turning around....

Street Legal: The UK Junks Its FSA, When Will We Junk the SEC?  

Jun 18, 2010

By Bill Singer

The SEC is a gas-guzzling dinosaur of a vehicle whose engine warning-light went on years ago. It is a wheezing, dyspeptic boiler in our basement. Nothing good will come of this....

Value Investors See Silver Linings In Cloudy Markets  

Jun 17, 2010

By Jerry Gleeson

With a rocky economic recovery, millions of gallons of oil spilling into the Gulf of Mexico, and sovereign debt crises in Europe, what is there to be happy about? Plenty, if you were one of the value managers at Wednesday’s panel discussion on investment opportunities, sponsored by American Beacon Advisors in New York City. ...

NASAA Says Reg-D Is Second Biggest Investor Protection Concern  

Jun 15, 2010

By Kristen French

In a media conference call Tuesday morning, NASAA President Denise Voigt Crawford outlined the biggest investor protection issues in Wall Street reform legislation supported by NASAA. Investor protection is one of the issues legislators plan to vote on during Tuesday’s conference session. ...

Fiduciary Duty For All Hangs On Senator Tim Johnson  

Jun 15, 2010

By Kristen French

After months and months of public debate and back-room deal-making, a final outcome on fiduciary duty—the biggest issue for financial advisors, stockbrokers and wealth managers in the Wall Street reform bill—may be decided Wednesday, and depends heavily on how Senator Tim Johnson (D., S.D.) votes in conference debate. ...

UBS Ran Gauntlet, Beats Merrill, Says Bob Mulholland  

Jun 10, 2010

By John Aidan Byrne

“We are really the only major relevant firm that actually went into the 2008 and 2009 abyss and came out the same firm,” Mulholland told Registered Rep., in an exclusive interview at his office in Weehawken, N.J. “We went in as UBS and we came out as UBS. The others, they came out entirely different.” ...

For NYC Securities Workers, A Historically Bad Year For Pay  

Jun 9, 2010

By Jerry Gleeson

If you worked as a financial advisor last year, you are well aware that securities industry compensation was one of the many victims of the financial collapse. But new data from David Belkin, senior economist at the nonpartisan New York City Independent Budget Office, suggests that a more game-changing dynamic was at work, at least as far as securities companies based in New York City are concerned....

LPL To Go Public. At What Valuation?  

Jun 7, 2010

By Halah Touryalai

As one advisor puts it, “[The private equity firms] didn’t invest in LPL to hang out. It was a business decision and they’re ready to monetize their investment.” The PE firms’ 2005 investment valued LPL at $2.5 billion, or 2.5x gross revenue—a multiple analysts said was the highest ever for an independent b/d/. ...

Feeling Generous? So Are Your Clients  

Jun 7, 2010

By Jerry Gleeson

Americans will be feeling more generous this year, according to a projection from the Center on Wealth and Philanthropy at Boston College. After falling off in 2009, charitable giving by individuals in the United States is expected to increase this year by 3 to 4.5 percent, the center estimates. ...

Rats! GRATs Benefits Could Be Axed  

Jun 3, 2010

By Jerry Gleeson

Some attorneys are working feverishly to get clients’ assets into a specialized trust before proposed federal legislation eliminates the provisions that have made it so popular as a means of significantly reducing taxes....

For Fiduciaries, Fee Monitoring Gets More Scrutiny  

Jun 3, 2010

By Kristen French

A big part of being a fiduciary has always been knowing exactly what your clients are paying for their investments, and making sure they’re getting the best deal. But today, advisors who act as fiduciaries have to keep a closer watch over fees and expenses than ever before, said Fi360, a group that provides consulting to financial advisors on fiduciary issues. ...

Bank of America Ramps Up Online Brokerage  

Jun 1, 2010

By John Aidan Byrne

Bank of America is making a push into electronic brokerage services, a menu that includes free online trading and a new platform called Merrill Edge, set to debut in late June. Some say the new services will steal business from Merrill advisors. ...

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In This Issue: February 2012

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Got the Social Media Spins? Help Is On The Way

A bunch of social media services have emerged to help financial services firms comply with regulations and make the most of social networks to build business. They've got big plans for 2012.


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