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The Motley Fool December 8, 2005 Tom Taulli	Fidelity Soft No More Payment via soft dollars is an age-old practice on Wall Street, but its days may be numbered. In fact, this week, Fidelity indicated that it will now pay for mutual fund research from Lehman Brothers. This is good for investors.
Wall Street & Technology January 24, 2006 Anthony Guerra	Hard Times for Soft Dollars Changes to soft dollar practices are of interest to both sides of the Street since the tightening of the SEC's safe harbor clause -- which details what may be paid for with soft dollars -- will require the buy side to shell out hard dollars for more goods and services.
The Motley Fool July 14, 2006 Alex Dumortier	SEC Soft on Soft Dollars The SEC clarifies what acceptable practice is when it comes to soft dollars. If you are a mutual fund or hedge fund investor, you'd be well advised to check your investment managers' policy regarding the use of soft dollars.
Wall Street & Technology September 23, 2005 Anthony Guerra	Follow the Leader The U.K.'s Financial Services Authority (FSA) finally issued its soft-dollar guidelines. Will the SEC take a page out of what the FSA has done? Probably.
Wall Street & Technology April 26, 2005 Ivy Schmerken	Broker Research: What's It Worth? The securities industry is hoping that the SEC will clear up the uncertainties surrounding soft dollars and determine once and for all who is responsible for placing a value on proprietary research.
The Motley Fool March 19, 2004 Whitney Tilson	The Disgrace of Soft Dollars Massachusetts Financial Services Co. (MFS), the oldest and 11th-largest mutual fund company, announced this week that it has stopped paying brokers in "soft dollars." I can hear the yawns across America, but this is an important issue because investors are being bilked out of billions.
Wall Street & Technology August 27, 2004 Ivy Schmerken	Bracing for Disclosure of Soft Dollars The SEC's examination of soft dollars could require money managers to increase disclosure of costs and force the sell side to unbundle its commissions and separately price its research.
Wall Street & Technology March 26, 2004 Ivy Schmerken	Regulators Play Hardball with Soft Dollars Buy-side firms are facing more disclosure requirements and possible curtailment of soft-dollar commissions applied to investment technology.
Wall Street & Technology January 9, 2006 Larry Tabb	Seven Trends for '06 Banking and technology trends for the new year: exchange and market infrastructure redesign... the move toward low-touch services... lagging firms will be forced to rebuild their market data infrastructure... etc.
BusinessWeek May 16, 2005 Amey Stone	Still Outside Looking In Independent stock analysts hoped to cash in on the Spitzer pact. What went wrong?
Wall Street & Technology February 21, 2007 Ivy Schmerken	Brokers Back CSAs to Help Buy Side Achieve Best Execution and Pay Research Providers In search of best execution, buy-side firms tap brokers' new commission-sharing arrangements to pay for valuable research.
Bank Technology News November 2004 Shane Kite	Trading: Direct Execution Players Get Beefy Banks and brokers are stocking up on tech and management tools, bundling direct access with algorithmic trading, as the industry gets more competitive than ever.
Wall Street & Technology May 29, 2008 Cory Levine	Latency Risk Exposure On the Rise In 2008, 16 percent of all U.S. institutional equity commissions are exposed to latency risk, totaling $2 billion, according to a new report from the TABB Group.
Wall Street & Technology February 4, 2005 Maria Santos	Attracting Order Flow Given the amount of trading activity hedge funds generate, competition for their order flow is heating up.
Registered Rep. August 1, 2006 Kevin Burke	SEC Draws Hard Line on Soft Dollars After more than a decade of discussion, the SEC has finally issued guidance on the controversial fate of soft dollars.
The Motley Fool June 12, 2007 Matt Koppenheffer	The I-Banks Ain't Done Yet: Lehman's Earnings Lehman Brothers reported standout second-quarter earnings. For those concerned about the way the major investment banks are financing themselves, the report from Lehman provided little comfort. Investors, take note.
Wall Street & Technology July 1, 2005 Ivy Schmerken	The New Sell-Side Trader: Execution Consultant Brokers are morphing into execution consultants to advise the buy side on selecting algorithms and measuring performance. But how will the sell side reinvent the institutional sales trader?
BusinessWeek September 2, 2010	Hard Choices: Joe Plumeri The chairman and CEO of insurance brokerage giant Willis Group on shunning contingent commissions and forgoing millions
Wall Street & Technology June 29, 2005 Ivy Schmerken	Reinventing the Relationship Technology and regulatory scrutiny have placed pressure on the buy-side traders to figure out how much it is paying for executions.
The Motley Fool February 11, 2010 Dan Caplinger	Roundtable: Will Free ETFs Change Your Life? Several top experts in personal finance weigh in with their thoughts on how you can best take advantage of changes in ETF fees.
BusinessWeek October 10, 2005 Roben Farzad	Lehman: A Bank In Bondage Lehman Brothers Inc.'s growth astounds, but its fixed-income fixation may tie it down.
Wall Street & Technology February 4, 2005 Ivy Schmerken	Direct-Market-Access Trading The buy side is taking more control of its trading decisions while looking for faster, lower-cost and anonymous executions. Direct market access (DMA) tools permit buy-side traders to access liquidity pools and multiple execution venues directly, without intervention from a broker's trading desk.
Registered Rep. April 28, 2003 Will Leitch	Historic Settlement Doesn't Target Brokers -- But You're Hardly Home Free Now that the Wall Street global settlement is official, brokers might be inclined to heave a sigh of relief. Don't. While the settlement will have a lasting impact on the brokerage industry, brokers have been unscathed by the Spitzer investigations -- so far.
CFO September 1, 2005 Russ Banham	Seeing No Evil The contingent-commission scandal has called into question long-standing insurance practices. But corporate risk managers share the blame.
The Motley Fool December 14, 2006 Michael Mancini	Lehman: Size Doesn't Matter In what is shaping up to be a record year for most securities firms, Lehman Brothers today announced its fourth-quarter and 2006 full-year results to less fanfare than its investment-banking brethren had earned.
BusinessWeek April 18, 2005 Aaron Pressman	The Busiest Broker On Earth Fidelity's Internet operation has turned up the pressure on Schwab and other rivals.
Registered Rep. September 16, 2008	Barclays Picking At Lehman Carcass; Clock Is Ticking Barclays Capital, one of Britain's largest banks, is nearing a deal with Lehman Brothers to buy its core broker/dealer business, and is in talks to sell its investment management unit to one or more private equity firms.
The Motley Fool February 21, 2007 Mary Dalrymple	Study Before Selling Your Life Insurance If you shun full-service brokers and their high commissions and fees, don't fall for a life settlement that's more in your advisor's interest than your own.
Investment Advisor November 2006	Still Getting It Done Wirehouses seem to be thriving in their retail businesses by using innovative strategies and very sophisticated products to solve problems for the wealthy.... Unsatisfied Women...
Insurance & Technology March 18, 2005 Wendy Toth	Whose Side Are You On? The shift in the business model, the study reports, creates an opportunity for insurers to connect with buyers directly.
Wall Street & Technology August 27, 2004 Larry Tabb	Independent Aggregation: An Oxymoron Aggregation's time has come, but independent providers have gone. It is technology that the industry needs and brokers can't live without, but does the act of acquiring a platform devalue it?
Wall Street & Technology March 26, 2004 Larry Tabb	NYSE: Fast Market or No Market? If the NYSE becomes more electronic, its owners (the specialists and floor brokers) will be disadvantaged, and possibly jobless.
The Motley Fool March 16, 2005 Tom Taulli	Lehman Lunges Ahead Good times continue at the investment banks. Lehman believes that the economy is rebounding and that there is renewed confidence in Corporate America, which should continue the M&A wave.
Investment Advisor October 2009 James J. Green	Fidelity Cuts Costs on Technology, Trading Fidelity Institutional announced a range of price cuts and time-bounded fee waivers for advisors who custody client assets at Fidelity.
The Motley Fool October 3, 2006 Ryan Fuhrmann	Are Analysts Worthless? Are sell-side and buy-side analysts worthless to investors, and what's the difference between the two?
Knowledge@Wharton	What's Wrong With Spitzer's Solution to Analyst Bias? Experts on the financial markets disagree over how bad the stock-analyst bias problem is today. But few find much good to say about Eliot Spitzer's approach.
The Motley Fool October 17, 2006 Tom Taulli	Open Solutions Is Going Dot-Com This nice growth business that provides software to financial institutions is so nice that two top private equity firms will buy it out. Investors, take note.
Registered Rep. August 1, 2004 Will Leitch	A Soft Idea A new study asked CIOs at 72 asset management firms what they thought about the desirability of continuing to pay soft dollars, and whether they thought it was "feasible" to eliminate the practice.
BusinessWeek September 22, 2003 Der Hovanesian et al.	How to Fix the Mutual Funds Mess Hidden fees, lax boards, and now scandal. Here's what has to be done.
Investment Advisor September 2005 Kathleen M. McBride	Happy Brokers New Broker Sentiment Index finds personal contentment and market optimism.
The Motley Fool December 15, 2006 Dan Caplinger	The Lure of Private Equity The fact that private equity deals have become commonplace shows that private equity provides benefits to investors as well as to companies and their corporate managers.
The Motley Fool June 25, 2007 Matt Koppenheffer	What the Heck Is Investment Banking, Anyway? A look at what investment bankers actually do and the firms that are involved in the business, along with their stock ratings.
The Motley Fool August 30, 2010 Dan Caplinger	Who You Trade With Does Matter It's easy to think that one broker fits all, but nothing could be further from the truth. Take the time to get to know your brokerage options. Only then will you have the knowledge base to make your best choice.
Wall Street & Technology April 11, 2008 Cory Levine	Options Traders Lack TCA Tools The structure of the options market has prevented the adoption of transaction cost analysis tools that are now commonplace in equity trading, according to TABB Group.
CFO March 1, 2010 David M. Katz	Is Your Broker Mediocre? It may be a buyer's market, but choosing the best broker is far from easy.
The Motley Fool December 14, 2005 Stephen D. Simpson	Lehman Caps Off a Solid Year Strong results in mergers, underwriting, trading, and asset management led to a great year for the investment bank, but is the momentum slowing? Investors, take note.
Wall Street & Technology August 22, 2007 Ivy Schmerken	Goldman Sachs and Other Brokers Develop Alternative Research Platforms to Advise Buy-Side As the buy-side unbundles the cost of research and executions, brokers are partnering with alternative research providers. Could it cannibalize their own proprietary research?
Registered Rep. October 22, 2009 John Churchill	Fidelity Expands International, Forex Investment Options With U.S. long-term growth forecasts looking slim, the timing of the release is certainly no coincidence.
Wall Street & Technology February 4, 2005 Maria Santos	Bringing in Business Attracting hedge funds as customers is a priority this year for the majority of sell-side firms. As hedge funds approach $1 trillion in assets, these non-traditional investment vehicles have become the latest buy-side heavyweight.
Managed Care May 2000 John Carroll	Like Stock Brokers, Are Health Care's Middlemen Losing Influence? Those who make deals between buyers and insurers are used to perks and tidy commissions. The Internet and defined contributions may threaten that.