Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Steps taken to protect seniors
By staff WriterSenior Advisors know that it only takes a few bad apples to draw unrelenting scrutiny of everyone's actions. That is happening in the industry right now, and regulatory agencies have taken note. A new initiative has grown out of the atmosphere of
April 02, 2008
Feature: is 'shopping' settlement brokers a good idea?Shopping for better rates is a common practice when purchasing insurance, to the point that one major auto insurer even offers to provide consumers with their competitors' rates.
April 01, 2008
NEWS & PRODUCTS, APRIL 2008FINRA has settled cases against five firms for mutual fund sales and supervisory violations, imposing an $800,000 fine against Prudential Securities and a $750,000 fine...
April 01, 2008
Swami MarketingJust the other day, I visited a friend of mine at his office. While I was waiting in the lobby, I happened to pick up...
April 01, 2008
Bear Stearns Debuts Active ETF (Really!)Bear Stearns was planning to make a splash by offering the world's first actively managed ETF on March 18th, but instead the company got hit...
April 01, 2008
Annuity AssistanceIn a world where instant gratification is the norm, tools like AnnuityQuickQuote.com could come in handy. The site, launched in September 2007, provides immediate annuity...
April 01, 2008
FINRA and SEC Look to Build BridgesKeeping the lines of communication open between broker firms and the regulating agencies of the Financial Industry Regulatory Authority and the Securities and Exchange Commission...
April 01, 2008
Going the Extra MileI catch up with Joe Calloway in the hotel lobby during OneVoice, the 2008 Broker-Dealer Conference organized by the Financial Services Institute. A busy man...