Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Keeping Up
By Kara P. Stapleton"The global securities and investments industry must continue adapting to a fast-changing environment, including grappling with the ongoing fallout of the subprime crisis and associated...
March 01, 2008
Tim Ryan to Lead Securities AssociationThe Securities Industry and Financial Markets Association (SIFMA) has appointed T. Timothy Ryan, Jr. as its chief executive officer to be based in New York....
March 01, 2008
Getting a Handle on RiskAs participants in financial markets struggle to absorb giant losses and other negative surprises from some of the largest investment banks and broker/dealers on the...
March 01, 2008
Quant ExplorerWhen the markets are as volatile as they were in January 2008, with news about ratings agencies, banks, broker/dealers, and the bond insurers growing darker...
March 01, 2008
Coming Out PartyOnly fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers....
February 29, 2008
Rise of the independentsI feel it is high time to give accolades to some of the "players" in the multi-trillion-dollar financial services industry players that I think have overcome incredible odds to achieve great success.
February 24, 2008
More Brokers And Advisors Are Looking To Roam, Study FindsAbout 9% of brokers and advisors say they are likely to consider switching from their current employer to another firm in the next 12 months, ...