Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Clark at Large: Hope and Change
By Bob Clark, Bob ClarkOver the past months, I've written rather extensively about the Obama Administration's proposed securities industry reregulation, the various proposals of what that might look like,...
February 28, 2010
Wearing Two HatsOnce upon a time, life insurance professionals who wanted to build a fee-based practice would become a registered investment advisor.
February 25, 2010
LPL Financial's 2009 Net Rises 4%, Despite Revenue FallLargest independent B/D adds 750 new advisors to its fold
February 25, 2010
Dodd Reform Bill, Likely Out Next Week, Already Gets ReactionInclusion of amendment deleting fiduciary standard prompts objections from industry groups
February 24, 2010
Sources Say Johnson Fiduciary Amendment to Be in Dodd's Financial Services Reform BillAmendment asks SEC to study advisor/broker obligations
February 24, 2010
Eastbridge: More Enthusiasm For Voluntary BenefitsEmployee interest in voluntary benefits is likely to be more intense this year than it was in 2009, according to worksite marketing companies surveyed by Eastbridge Consulting Group.
February 24, 2010
Researching Your Worth? Beware Online Pay Scale SitesPayscale.com and Salary.com are not accurate benchmarks for independent advisors and their Next Gen employees. When the Next Generation needs an answer they Google it. So...
February 23, 2010
IRI taps Alvarado for compliance VPThe Insured Retirement Institute has completed its transformation with the hiring of Karen Alvarado, the new vice president for compliance and regulatory affairs.