Though still in its infancy, Smith Barney’s unified managed account has gathered more than $500 million in assets in just two-and-a-half months. The UMA, as it is referred to, allows reps to monitor a variety of structured products—...
In February, Registered Rep. will introduce a new monthly column, “The Ethical Rep,” perhaps the first of its kind in the securities industry. A team of more than 30 prominent securities attorneys, law school professors and industry...
The “information highway” can quickly become the road to ruin for some unwitting investors, according to Stephen Harbeck, president of the Securities Investor Protection Corporation (SIPC). In a conference call held by SIPC, together...