The 2014 Broker-Dealers of the Year: The Rules
To be eligible, a broker-dealer had to be nominated by at least 10% of the producing reps reported in the 2014 Broker-Dealer Reference Guide.
At Triad, Being RIA Friendly Is Old Hat
Many broker-dealers have moved over the past few years to accommodate their fee-based reps by adding a custodial platform so those reps can run their own RIAs.
‘Improving’ FINRA Among Top Goals for BD Lobby
FSI executives say the self-regulator needs greater efficiency and cost-benefit analysis in rulemaking.
State Regulators Settle With Bankers Life
The North American Securities Administrators Association (NASAA) announced Wednesday that state securities regulators had reached a settlement with Bankers Life and Casualty Company of Illinois, after a task force found that the firm was acting as an unlicensed broker-dealer and investment advisor.
B/D News & Products
On January 8, James Cayne of Bear Stearns announced his plan to step down as CEO, effective immediately, though he will stay on as chairman...
FSI Elects '08 Leaders
The Atlanta-based Financial Services Institute, or FSI, says the industry group's board of directors has unanimously elected Brian Murphy, chairman of Woodbury Financial Services of Woodbury, Minn., a
Last month, I gave a one-day practice-building workshop for ProEquities, Inc., concluding one of many business management conferences they offer their affiliated advisors each year....