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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
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. |
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. |
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
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. |
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. |
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
September 20, 2006
Tim Clark |
A Hard Act to Follow Amid dwindling commissions and a resurgence in the use of soft dollars, commission recapture is becoming harder to quantify for financial services firms. |
Financial Planning
March 1, 2007
Mike Suppappola |
Compliance Tips New Soft Dollar Rules: Is Your Firm Ready? |
Wall Street & Technology
November 18, 2005
Larry Tabb |
The Sins of the Few The equity research model is not only broken, it is destroyed. In trying to clean up the research process, we have thrown out the baby with the bath water. |
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. |
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. |
Financial Planning
January 1, 2006
Jane Worthington |
Soft Dollars: The SEC's New Guidelines The revised SEC interpretation of its safe harbor provision in October 2005 ended months of speculation among money managers as to whether soft dollars can still be used to purchase investment research. |
Registered Rep.
August 1, 2004
Will Leitch |
No Soft Dollars? A Hard Pill To Swallow Attendees of the SIA Soft Dollars and Institutional Brokerage Conference seek to find if the soft-dollar payments practice in the brokerage industry can be saved. |
Financial Advisor
October 2004 |
SBPlanner Develops Bond Analysis Tool Advisors can use The Platinum Guru to help their clients... MassMutual announced a new Portfolio Audit and Account Review program for agents... Hedge Fund Evaluations... etc. |
Registered Rep.
June 29, 2004
Will Leitch |
Hard Questions at Soft-Dollars Conference Most of the conference's attendees, particularly smaller firms who have come to rely on the "soft" payments, were there to find out one thing: Can the practice be saved? |
Wall Street & Technology
January 24, 2006 |
Table Set for Soft Dollar Software Growth New regulations in the United States and Europe are leading to heightened awareness of the largely unexplored commission-management software industry -- a market primed for major growth. |
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. |
BusinessWeek
May 16, 2005
Amey Stone |
Still Outside Looking In Independent stock analysts hoped to cash in on the Spitzer pact. What went wrong? |
Financial Planning
April 1, 2011
Donald B. Trone |
Costly Decisions Many people think a fiduciary must select the lowest-cost service provider or lowest-priced basket of goods and services for clients. Not so. |
BusinessWeek
April 5, 2004
Paula Dwyer |
Mutual Funds: Carpe Diem, Congress The SEC can't restructure the industry by itself, and legislators are dawdling |
Registered Rep.
February 8, 2004
Will Leitch |
IT Spending Expected To Rise in 2004 A new study asserts that Wall St. firms are ready to address one of reps' most common complaints in recent years: the lack of resources devoted to internal infrastructure, especially technology. |
Registered Rep.
July 2, 2003
David A. Gaffen |
Morningstar Editors Differ on Fund Disclosures Among the proposed revisions to mutual fund disclosure rules, the one relating to "soft-dollar" arrangements between fund companies and brokerages is touching off particularly spirited debate. |
Registered Rep.
August 1, 2004
Will Leitch |
The Reformation When the scandal craze that has gripped the securities industry first began two years ago, few in the industry recognized how deep it might go. |
The Motley Fool
December 13, 2007
Matt Koppenheffer |
Feelin' All Right at Lehman All in all, stakeholders in Lehman Brothers should be pretty pleased with the way the firm has held up during the market turmoil. Lehman may be quietly doing a lot of things right. |
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
August 2006 |
Group Think The Investment Company Institute's president applauded the SEC for its decision to issue guidance... The National Association of Personal Financial Advisors (NAPFA) has presented its 2006 Special Achievement Award... etc. |
The Motley Fool
August 18, 2008
Alex Dumortier |
Lehman's $40 Billion Garage Sale According to a Financial Times report, the troubled broker-dealer is in talks to sell $40 billion in mortgage and real estate assets. |
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. |
Wall Street & Technology
April 22, 2005 |
Capital Markets: Top 10 Strategic Initiatives for 2005 Ten strategic initiatives that will drive technology spending in the capital markets in 2005. |
The Motley Fool
September 20, 2007
Matt Koppenheffer |
Turbulent Markets Thump Morgan Stanley The investment bank's third-quarter earnings fell from last year, but diversification kept things from being even worse. |
Registered Rep.
May 9, 2007
Christina Mucciolo |
Morgan Stanley to pay $7.96 Million for Best Execution Fraud The SEC announced that Morgan Stanley will pay penalties to settle the charges against the firm for failing to provide best execution to clients. |
The Motley Fool
August 19, 2008
Alex Dumortier |
Will Lehman Pawn This Crown Jewel? The time for Lehman Brothers to make hard choices is here. |
Wall Street & Technology
February 27, 2005
Jonathan Beyman |
Dear CIO... The author is chief of operations and technology at Lehman Brothers, as well as an executive vice president. In addition, Beyman has served as the firm's CIO since 2000. |
The Motley Fool
October 16, 2006
Dumortier & Khattab |
Investment Banks Under the Microscope Investors, which Wall Street firms make the grade? Goldman Sachs... Lehman Brothers... Bear Stearns... Morgan Stanley... Merrill Lynch... etc. |
Registered Rep.
June 24, 2009
John Churchill |
SEC Says Time To Tighten Rules On Money Market Funds After one of the oldest and largest money market funds suffered such severe redemptions that the net asset value of its shares fell below $1, the SEC is proposing structural and regulatory changes for money markets |
The Motley Fool
June 14, 2005
Stephen D. Simpson |
Profiting From Active Trading Bond trading continues to pay off for Lehman Brothers. Factor in a solid backlog of business, and the company should do all right so long as we don't see any major unexpected volatility in the capital markets. |
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. |
CIO
December 12, 2011
Kim S. Nash |
How to Avoid Future Shock Too many senior executives get strategic planning wrong because they don't know how to interpret trends, says consultant Daniel Burrus |
The Motley Fool
August 18, 2004
Tim Beyers |
Janus Loses $5 Billion Withdrawal woes continue to plague the mutual fund manager. |
Wall Street & Technology
July 26, 2004
Jessica Pallay |
Lehman's Data Duo Lehman Brothers' senior management understands the value of working with its heads of business lines. |
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. |
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? |
CRM
June 2014
Maria Minsker |
Finding the Soft Edge Solid strategy and great execution are just two sides of the long-term success triangle. |
Financial Advisor
April 2008 |
Advisor Emporium Fidelity Enhances RIA Management Platform... Vanguard Changes Investment Advisory Teams... New ETF Revenue-Based Index Launched... Lehman Brothers Creates An ETN Platform... RCB Small Cap Value Re-Opens... etc. |
