Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
What Advisors Can Teach the SEC
By Mark ElzweigInstead of lashing out at broker-dealers, the SEC should begin to examine how the brokerage industry has moved ahead of the curve to re-shape recruitment packages and to tie performance and asset retention to bonuses.
September 14, 2009
Retail Sales and Business Inventories Rose in AugustRetail sales jumped higher in August than in the previous five months while business inventories saw their biggest rise in two years and business sales also rose after tumbling downward for two months, the U.S. Commerce Department reported Tuesday.
September 13, 2009
Minnesota's new viatical settlements law: Find it hereThis article contains a link to Minnesota's new viatical settlements law, which contains stipulations for licenses of brokers and providers in this market.
September 10, 2009
Gorman to Lead Morgan Stanley; Should Become CEO in 2010Leader of Morgan Stanley venture with Smith Barney and 18,450 advisors will also serve on firm's board of directors.
September 03, 2009
Morgan Stanley, Ratings Groups Face Fraud Claims on SubprimeIn the New York case, the plaintiffs claim Morgan Stanley wrongly marketed Cheyne as a high-quality investment, and that the rating agencies assigned improperly high ratings.
September 01, 2009
Schapiro Message to B-D CEOs: Watch Your Recruiting TacticsBroker-dealers must fulfill their supervisory duties and compliance role as they make upfront and ongoing promises to advisors.
September 01, 2009
Insurance Salary Forecast: UpThe insurance industry is forecasting higher salary increase budgets than all other industries in all employee categories for 2010.
September 01, 2009
Healthcare Reform Deadlines Look DeadSeptember and October dates will likely pass, but some type of reform still expected by year end