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NEWS
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Dodd to Require Muni FAs, Swap Advisers, Investment Brokers to Register With SEC
March 15, 2010Senate Banking Committee chairman Christopher Dodd, D-Conn., today introduced a massive financial regulatory reform bill that would require the head of the Securities and Exchange Commission’s municipal securities office to report directly to the SEC chairman, thereby significantly raising the profile of the muni market at the commission.
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Dodd Releases Details of Reform Bill
March 15, 2010Senate Banking Committee Chairman Chris Dodd on Monday released a broad outline of his regulatory reform bill, which heavily reflects input from Republicans who still say they oppose the bill.
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Advisors and Broker Dealers Criticize Dodd's Reform Plan
March 15, 2010The decision by the Democratic Senator from Connecticut has frustrated investor groups who want the more stringent fiduciary standard to be applied to brokers as well as to financial planners who already abide by the rule.
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Fidelity Hopes Reorganization Can Draw RIAs
March 15, 2010In an effort to sell more products through financial advisers, Fidelity Investments announced Monday that it plans to reorganize hundreds of its employees.
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UBS Expects Better Days in 2010
March 15, 2010UBS expects wealth management clients to return, even if near term sees more losses.
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Research Roundup: Ideas and Analysis for the Week of March 15
March 15, 2010Have the markets moved too far ahead of the recovery? Is there even a recovery? Today, cautious commentary from JP Morgan, Gluskin Sheff, Envision and Euro Pacific Capital…plus the week in reports.
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How Will New Rules Impact Family Offices?
March 15, 2010Proposed legislation by the Securities and Exchange Commission to have single family offices register as investment advisors is part of the financial regulatory reform negotiations currently being debated in the Senate.
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On Wall Street Announces Branch Managers of the Year
March 15, 2010On Wall Street and MainStay Investments will honor the winners at a dinner in New York City.
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Canadian Activist Group Tells Investors: Get Out of Money Funds
March 15, 2010Canadian investors are missing out of up to $500 million a year in yields by sticking with money market funds rather than higher-yielding, insured premium savings accounts.
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This Recovery Is For Real: TrimTabs
March 15, 2010This recovery is for real, according to TrimTabs. As cause for the optimism, the research firm points to a 3% increase in wages and salaries from a year ago and a 9% spike in online job postings. Year-to-date, job postings have surged a surprising 18%.
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Direxion Launches Six New Leveraged ETFs
March 15, 2010Direxion has launched six new long and short exchange-traded funds tracking BRIC, India and the semiconductor industry, bringing the total number of leveraged ETFs it offers to 34.
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IRS Probing Approximately 20 Swiss Banks
March 15, 2010The Internal Revenue Service is collecting information on approximately 20 Swiss banks, according a letter from UBS, one of the main banks it has been investigating.
Discussion of the Week: 
