Bank & Financial

Magazine articles on banks, brokerages, and credit card companies.

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Registered Rep. March 14, 2012 Jerry Gleeson	The Long Goodbye This year, about 3,200 mid-sized RIAs will say goodbye to the Securities and Exchange Commission, transferring their registration to the states where they do business.
Registered Rep. March 13, 2012 Lauren Barack	Tongue-tied Advisors Even if they have their firms' permission to tweet, a technology platform up and compliance guidelines in place, the fear that they will "do it wrong" keeps many financial advisors from participating.
Registered Rep. March 13, 2012 Jerry Gleeson	EBRI Study: Americans More Pessimistic About Retiring Well, Fewer Going To Advisors Saving for retirement, and using a financial advisor to provide help in planning for the golden years, are a low priority for American workers, an annual survey by the Employee Benefit Research Institute says today.
Registered Rep. March 13, 2012 Diana Britton	Yield of Dreams: More Proof the Breakaway Trend May Not be Overhyped A $300 million Morgan Stanley Smith Barney team has left the wirehouse for the greener pastures of LPL Financial, their IBD, and Fidelity, their custodian. The move is the latest example of the breakaway broker trend.
Registered Rep. March 12, 2012 Susan Konig	The Happiest Branch Office Managers Around While job satisfaction surveys seem to be everywhere in the industry these days, you'd be hard-pressed to find even one devoted to the role of branch office manager.
Registered Rep. March 12, 2012 Jerry Gleeson	Wall St. Has Lost Its Way, says RBC's Taft John Taft's new book is no apology for the industry. Stewardship -- Lessons Learned from the Lost Culture of Wall Street, released this month, takes a look at what went wrong in 2008 and why
Registered Rep. March 12, 2012 Diana Britton	Yield of Dreams: Are Investors Starting to Wake up and Smell the Rally? For months, we've been scratching our heads over why retail investors have been fleeing U.S. equity mutual funds and flocking to bond funds and U.S. Treasuries, where yields are practically non-existent.
Registered Rep. March 9, 2012 Mark Miller	Six Ways Pension Annuities Almost Always Beat a Lump Sum Even if a lump sum is a choice for your client, think twice before advising a client to take it.
Registered Rep. March 9, 2012 Jerry Gleeson	Puzzling Over New Questions on CFP Exam There's always a bit of anxiety in the air when financial advisors study for the rigorous Certified Financial Planner exam, but the version of the test that's coming next week may be accompanied by more than the usual share of worrying.
Registered Rep. March 9, 2012 Diana Britton	Yield of Dreams: Could Fisker be to Blame for Advanced Equities' Troubles? The co-founders of Advanced Equities were served up Wells notices related to a private offering in 2009. It's unclear from FINRA filings what private offering they're being investigated for.
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