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| Brokerage | E-Delivery |
This e-Monitor Report looks at e-delivery and online document capabilities offered by brokerage firms a topic we last looked at in December 2008. We focus primarily on the types of documents available online, as well as accessibility, online archive length and document format. We also look at the e-delivery availability and enrollment procedures, as well as flexibility in choosing delivery preferences. | | Details |
| Brokerage | Estate Planning |
This Broker Monitor Report looks at estate planning services offered by brokerage firms. We focus particularly on specialized services that are available for estate planning and trust accounts, as well as information, educational resources and other online tools. In addition, we offer our recommendations for firms to consider. | | Details |
| Brokerage | Trade Tickets |
This e-Monitor Report looks at online trade tickets – a topic we last covered more than two years ago. We focus solely on stock tickets and look at accessibility, usability, supplementary information and advanced features. We review the entire trading process, from order entry to order verification and confirmation. In addition, we offer our best practices for firms to consider. | | Details |
| Brokerage | Annual Statement Analysis |
In this Broker Monitor Report, we present our Annual Statement Analysis. We once again use our expanded Benchmarking Audit framework to rank firms’ statements in a number of areas. We also offer recommendations for firms to consider when designing and planning their statements. | | Details |
| Brokerage | User Forums |
This e-Monitor Report looks at user forums that brokerage firms offer on their websites. We focus on the availability of forums for both clients and prospects, their accessibility, features of each forum, variety of categories and topics, as well as posting and reply options. In addition, we offer our best practices for firms to consider. | | Details |
| Brokerage | Cost Basis Reporting |
This e-Monitor Report looks at cost basis reporting provided by brokerage firms to clients. With federal legislation requiring cost basis reporting on tax forms set to begin next year, we wanted to evaluate the current cost basis landscape. We look primarily at cost basis and gain/loss information online, and we also consider reporting on statements and 1099s. | | Details |
| Brokerage | Special Services and Accessibility |
This Broker Monitor Report looks at the special services and accessibility features that firms currently offer their clients. Specifically highlighted are services for vision- and hearing-impaired clients, such as large-print and Braille statements, TTY phone services, websites optimized to work with screen readers and options to adjust font size online. | | Details |
| Brokerage | Public Site Homepages |
This e-Monitor Report looks at Public Site Homepages, a topic last covered more than a year ago. We focus on the design and layout of homepages, as well as content. Formatting and presentation are also considered in our analysis. We look at what tasks can be completed by both prospects and current clients directly from the homepage and offer our best practices for firms to consider. | | Details |
| Brokerage | Managed Accounts |
This Broker Monitor Report looks at discretionary managed account programs offered by brokerage firms. We focus solely on accounts that are managed by financial advisors and portfolio managers directly at the firm. Separately managed accounts (SMAs) and unified managed accounts (UMAs) are not considered. We highlight minimum requirements and fee structures, as well as additional account descriptions when available. | | Details |
| Brokerage | Stock Screeners |
This e-Monitor Report looks at one of the most valuable tools offered on a brokerage website – stock screeners. We consider all aspects of the screeners, including accessibility, layout, advanced features and quantity of search criteria. We also focus on how results are displayed and what follow-up options are available. | | Details |
| Brokerage | Commission Review |
This Broker Monitor Report provides an in-depth look at trading commissions charged by brokerage firms. We also highlight notable pricing changes since our previous Commission Review in November 2008. As in previous reports on this topic, we provide a matrix detailing stock, option, mutual fund and fixed income commissions for different trading channels at self-directed firms, as well as a separate table listing sample full-service stock commissions. | | Details |
| Brokerage | 2009 e-Monitor Awards |
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| Brokerage | Public Site Email Customer Service |
This e-Monitor Report looks at email customer service on brokerage firms’ public sites, focusing primarily on accessibility, usability of email interfaces, timing and overall quality of responses. Customer service is an essential tool for attracting business. While it is important to offer convenient service to clients, it is also important to offer convenient ways for prospects to ask questions. | | Details |
| Brokerage | Nearing Retirement Information |
This Broker Monitor Report looks at the Nearing Retirement Information provided by brokerage firms to clients and prospects. We primarily focus on “off-the-shelf” information, guidance and advice specifically geared toward those in the pre-retirement stage. We did not consider tailored information from financial advisors. | | Details |
| Brokerage | Transaction History |
This e-Monitor Report looks at the transaction histories available on brokerage firms’ websites. We review all areas of transaction history, but focus primarily on accessibility, depth of transaction history provided, online archive, search and filtering capabilities, and download capabilities. In addition, we offer our recommendations for firms to consider when providing clients’ transaction history online. | | Details |
| Brokerage | Advisor Branding |
This Broker Monitor Report reviews Advisor Branding, specifically how full-service brokerage firms highlight the client’s financial advisor on account communications. We look at materials received by mail – primarily focusing on account documents, such as statements and confirmations – along with materials made available online. | | Details |
| Brokerage | ETF Centers |
This e-Monitor Report reviews online ETF Centers offered by brokerage firms, a topic last covered more than three years ago. Our analysis focuses primarily on accessibility, tools, educational resources, and individual ETF profile information. Only firms that centralize ETF content in a dedicated “center” are included in the report. | | Details |
| Brokerage | Streaming Quote Tools |
This e-Monitor Report highlights streaming quote tools that brokerage firms provide on their websites. We look only at tools that are provided free to all clients and focus on accessibility, usability and the variety of features each tool offers, including customization options. | | Details |
| Brokerage | Cash Sweep Options |
This Broker Monitor Report explores the Cash Sweep Options that brokerage firms provide to their clients – a topic last covered in 2007. We focus primarily on the three most popular features – FDIC-insured bank deposit programs, simple interest and money market funds. We also look at restrictions placed on certain options and provide current rates. | | Details |
| Brokerage | Stock Charts |
This e-Monitor Report reviews brokerage firms’ online stock charts. While looking at all aspects of charts, our primary focus is on accessibility, chart formats, tools, interactive functionality and customization. Only Web-based charts available to all clients are considered; streaming applications and downloadable platforms are not included in this report. Additionally, we offer our recommendations for firms to consider when offering or improving charts. | | Details |
| Brokerage | Public Site Search Tools |
This e-Monitor Report highlights search tools that brokerage firms provide on their public sites – a topic we last looked at in July 2002. No matter how well firms organize their sites, users will sometimes need help finding specific information. A site search tool is an essential feature to help prospective clients find what they need as quickly as possible and give them a better experience on the site. | | Details |
| Brokerage | Online Fixed Income Trading |
This e-Monitor Report reviews online fixed income trading capabilities offered by brokerage firms – a topic last covered in December 2007. We look at the types of bonds and CDs that can be traded online, as well as search capabilities, trading process and tools, and educational resources. Additionally, we offer our recommendations for firms to consider when introducing or enhancing an online fixed income platform. | | Details |
| Brokerage | Tax Centers |
This e-Monitor Report looks at Tax Centers that brokerage firms provide on their websites, focusing specifically on tax materials offered in a centralized section. Some of the resources we looked at include educational articles, calculators, tax documents and IRS tax forms. Additionally, we offer our recommendations for firms to consider when implementing or improving their tax centers. | | Details |
| Brokerage | IRA Cross-Promotions |
This Broker Monitor Report looks at brokerage firms’ IRA cross-promotions in the period leading up to the tax deadline. We examine promos appearing on all client mailings since the last quarter of 2008, including account documents, magazines, newsletters and standalone mailings. Additionally, we offer our recommendations for firms to consider. | | Details |
| Brokerage | Retirement Centers |
This e-Monitor Report looks at the Retirement Centers that brokerage firms offer on their websites. We focus on centralized sections where users can access information, tools and resources. The report provides a broad overview of firms’ offerings, rather than zeroing in on any particular type of tool or resource. In addition, we offer our recommendations for firms to consider when providing an online Retirement Center. | | Details |
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