Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Seeking suitability
By Andy StonehouseCompanies and advisors flustered by a suddenly intense focus on the industry have turned their eyes to more carefully verifying the notions of suitability. But a variety of new programs and some unique efforts on the part of providers will help
February 01, 2008
A Busy Year in WashingtonThe New Year is upon us, and perhaps the most significant event for the advisory industry has already taken place--the Rand report assessing the advisory...
January 31, 2008
Seeking suitabilityCompanies and advisors flustered by a suddenly intense focus on the industry have turned their eyes to more carefully verifying the notions of suitability. But a variety of new programs and some unique efforts on the part of providers will help
January 21, 2008
No Trust, No RelationshipLast week was a very interesting one. It consisted of appointments with prospective clients, centers of influence, and a business trip to California. What was...
January 16, 2008
FSI's Murphy Upbeat About '08New Financial Services Institute (FSI) Chairman Brian Murphy is upbeat about the organization's agenda for 2008. Murphy is looking to "carry on" the work of his predecessors at FSI, which has been an effective advocate for the independent broker/dealer community, especially with lawmakers and regulators.
January 09, 2008
Securities Jobs Weaken, But Just a BitThe December employment report issued on January 4 showed the weakest job growth since August of 2003, with only 18,000 jobs added in the entire non-farm jobs area and unemployment shooting up to 5 pe
January 08, 2008
Tech Bits: Benefitfocus, ZywaveBlue Cross and Blue Shield of Montana has agreed to use the Benefitfocus eBilling payment and reporting services from Benetifocus.com Inc.Montana Blue, Helena, Mont., will ...
January 07, 2008
Plan Administrator Offers Analysis ToolCustom Design Benefits Inc. has agreed to use health plan reporting and modeling systems from Benefit Informatics Inc.Custom Design, Cincinnati, administers benefit plans.Benefit Informatics, Tulsa, ...