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Raymond James, Oppenheimer & Co. & Stifel Nicolaus also balking.
SEC chairman Christopher Cox said yesterday that regulators made it a priority to investigate major firms' sales of auction-rate securities but their ARS probes include all firms that sold the securities to investors.
The Securities and Exchange Commission unveiled its next-generation system for online financial filings, IDEA, the successor to its EDGAR database.
The state has estimated that Wall Street bonuses in the current fiscal year will fall by 20% compared to last year and that capital gains will fall by 24%.
Kenneth Rogoff, a former economist at the IMF, said a large US bank is likely to collapse in the next few months, and said of the US economy that "the worst is still to come."
Greenwich, Conn.-based hedge fund SageCrest Finance has filed for Chapter 11 bankruptcy protection amid pressure from lenders and investors.
Lehman Brothers may be close to the sale of its investment-management arm, a business that includes Neuberger Berman, in an attempt to generate some much needed cash.
Assets held in hedge funds grew 4.41% during the second quarter, to $2.973 trillion.
The Regional Bond Dealers Association is pushing state and federal regulators to force the major banks and broker-dealers that underwrote auction-rate securities to provide relief to all investors who purchased ARS.
New York Attorney General Andrew Cuomo is reportedly investigating Fidelity Investments and Charles Schwab over auction-rate securities .
More and more of us are left wishing we had extra hours in the day to run errands, to email, to spend time with our families and to relax! In this new AdvisorMax coaching session, time management expert Cara Brook will highlight common time wasters and distractions that keep us from staying focused.
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Announcing Bank Investment Consultant's first annual ranking of Wealth Managers. Nominations close on 8/29/08.
Promotion announcements and firm changes for advisors.
SPECIAL REPORT: Reacting to current marketing conditions—What actions should an advisor take to reassure clients?
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This TIAA-CREF -sponsored event, held on July 10th, brought together women advisors at the top of their profession. Includes VIDEO highlights!
McCain, Obama and the economy
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Good communication with clients is a priority for financial advisors. But with long-distance clients, it becomes more of a challenge. AdvisorMax asked top financial advisors for their advice on how to achieve great relationships with remote clients.
The initial meeting with a prospect can make or break the financial advisory relationship. With so much hanging on that first meeting, don't make these common advisor mistakes.
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