Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Real markets
By Stephen D. FormanA veteran producer says the main force reshaping the LTCI market is healthy competition.
October 01, 2012
6 Apps to Keep You OrganizedThose notes from the conference? They're covered in spilled coffee. You haven't changed the month on your calendar since ... 2009. So throw all of those Post-Its away, pull out your iPad or iPhone and download these apps.
September 28, 2012
Protecting Confidential Data: What BDs Do Right, WrongAn SEC report describes strengths and weaknesses found in exams into how broker-dealers keep material nonpublic information from being misused.
September 26, 2012
Yes We Will!: FSI’s Growth and Advocacy SuccessIn an open letter to FSI members from Dale Brown, how the Financial Services Institute has made progress in 2012, and will see more success in 2013, with its members continued engagement.
September 25, 2012
Dividend Increases Hit the MarkThe shareholder-owned electric utility industry added to its eight-year-long trend of widespread dividend increases in Q2.
September 25, 2012
Breach of Fiduciary Duty No. 1 Complaint in FINRA Arbitration CasesExperts including former SEC Chairman Harvey Pitt and Ron Rhoades debated whether brokers should be held to the same fiduciary standard as advisors.
September 25, 2012
What Advisors Need to Know Before Going IndependentA webinar hosted by AdvisorOne presented guidance on how advisors can decide whether to break awayand if so, some of the essentials they should know to make it a successful move.
September 21, 2012
Raymond James Boosts Fees, Commissions 8% in August to $250MThese results are complemented by a 1% jump in assets to $383 billion.