Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Best Social Media Approach Is a Flexible One: SIFMA Panel
By Janet LevauxAt a SIFMA event, reps from several broker-dealers share how they target specific clients and broadly reach out to prospects.
February 27, 2015
The real reason brokers oppose a fiduciary standardOne industry group, the National Association of Plan Advisors, goes so far as to call the proposal the "No Advice" rule.
February 26, 2015
Insurance industry adds 13,900 jobs in JanuaryThe insurance industry grew by almost 4 percent from 2014 to 2015, says the U.S Bureau of Labor Statistics jobs report.
February 25, 2015
The medium Is the message, when the subject is investor protectionThe Committee for the Fiduciary Standard suggests mainstream media have an important role in investor protection, but I wonder if the emphasis is misplaced.
February 25, 2015
SEC Probing BDs’ Low Number of Suspicious Activity ReportsConsidering the volume of transactions and the nature of the BD industry, the SEC's top cop finds the dearth of SARs a little, well, suspicious.
February 25, 2015
Mr. Storey goes to WashingtonNAHU is at its best when all of its forces are mustered together here in the capital. It's at its best when it's firing up its base, engaging an otherwise disenfranchised lot.
February 25, 2015
How brokers are helping clients navigate PPACA tax complianceBrokers are expanding their role, yet again, to help clients navigate the uncharted waters of PPACA tax compliance.
February 25, 2015
How brokers are helping clients navigate PPACA tax complianceBrokers are expanding their role, yet again, to help clients navigate the uncharted waters of PPACA tax compliance.