New York Stock Exchange.

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  SEC Enforcement Roundup: Sister Charged With Illegally Tipping Off Brother

  By Marlene Y. Satter, AdvisorOne  |  April 18, 2013

  Among recent enforcement actions taken by the SEC were charges against a woman for illegally tipping her brother about quarterly earnings data from the firm she worked for.

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  New Hire Roundup: Lincoln Financial Advisors Appoints Joseph Gaeckle

  By Marlene Y. Satter, AdvisorOne  |  April 17, 2013

  This week in new hires, Joseph Gaeckle was appointed managing principal at Lincoln Financial Advisors, and Jeff Conway was named to lead a data analytics group at State Street.

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  Junk Bond Risk Gives Actively Managed ETFs a Boost

  By Joyce Hanson, AdvisorOne  |  February 20, 2013

  As ETF investors wake up to the fact that higher interest rates wouldn’t be good for their bond investments, they're seeking help from active managers in the high-yield junk space.

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  SEC, FINRA Enforcement Roundup: Allianz, TheStreet Charged

  By Marlene Y. Satter, AdvisorOne  |  December 20, 2012

  Among recent enforcement actions taken by the SEC were charges against Allianz for violations of the Foreign Corrupt Practices Act that resulted in penalties of more than $12.3 million; against a Connecticut-based advisor for telling clients it was investing in the same collateralized debt obligations it recommended for them; against...

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  2012 Advisor Hall of Fame

  By Ellen Uzelac  |  November 21, 2012

  Welcome to Research magazine’s Advisor Hall of Fame, now in its 22nd year.

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  8 Events That Closed or Shook the NYSE

  By Dan Berman, AdvisorOne  |  November 1, 2012

  Sometimes the events shut the market, other times trading continued in the face of tragedy.

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  PIMCO’s El-Erian Warns on Small-Business Hit From Hurricane Sandy

  By Joyce Hanson, AdvisorOne  |  October 31, 2012

  El-Erian pinpoints four Frankenstorm outcomes—some of them positive, some of them negative, and with one big question mark from Congress.

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  Ahead of Hurricane Sandy, Markets Shut Up Shop

  By Joyce Hanson, AdvisorOne  |  October 29, 2012

  Both the NYSE and Nasdaq were closed Monday due to the superstorm, though electronic trades continue on Arca, and SIFMA recommends bond market closure.

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  Mergers: A Tech Nightmare for Advisors

  By Jane Wollman Rusoff  |  October 24, 2012

  No one presumes that technology integration between big financial services firms will be headache-free, but such unions can unleash tech fiascoes. At stake: advisor productivity and morale.

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  SEC Fines NYSE for Giving Proprietary Customers Head Start on Market Data

  By Joyce Hanson, AdvisorOne  |  September 14, 2012

  NYSE Euronext agreed to a $5 million penalty for sending market data to proprietary customers' feeds before broadcasting it publicly, becoming the first exchange to pay an SEC fine.