Europe, regulation, margin squeeze, market volatility, succession planning and … oh yes, the day-to-day pressures of running a business. We tick the list off so often, it’s getting a bit cliché. But as with last year, we’re not much further along in figuring out these issues. Lawsuits related to Medical Capital and other poorly thought-out products spelled trouble for certain broker-dealers last year, and a few shut their doors entirely. The field is a little less crowded, but for those doing it right, the confusion spells opportunity. With all that in mind, which broker-dealers are thriving, which are merely surviving and which are shutting their doors? We present the 2012 Broker-Dealer Reference Guide, a review of the top BDs in each major category to help you sort it all out and ensure a lasting and profitable relationship for you and your clients.
Perhaps that's why Republican and Democratic leaders in the Senate agreed to votes Thursday that could end it.
An Aflac branding specialist makes the business case for doing the right thing.
Beyond the current fight over Ohio National trailing commissions, it seems that broker-dealers and regulators hate VAs; but for some investor clients, the security they offer makes them lovable.
Sponsored by Cetera Financial Group
Use these tips to effectively show your value and increase the stickiness of your client relationships.
Sponsored by Smarsh
Instant messenger makes it easier to communicate, but also runs the risk of violating regulations if you’re not careful. Learn how to connect, yet still remain compliant.
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