Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Enacts Rules For Bank Broker-Dealers
By Staff WriterEight years after passage of the Gramm-Leach-Bliley Financial Services Modernization Act, the U.S. Securities and Exchange Commission and the Federal Reserve Board have adopted rules ...
September 09, 2007
How Much Do Agents Make On Settlements? It Depends.Just as life insurance policies brought to the secondary market may attract any number of varying offers, the agents who bring those policies to life ...
September 07, 2007
Former SIA Chief Economist Passes AwayMany in the financial industry were shocked to learn of the sudden death on September 4 of Frank Fernandez, at 53, of complications following heart...
September 01, 2007
Time to rally around the issuesIn any industry, there are a small percentage of unscrupulous salespeople who act in their own best interest at the expense of their customers. In our industry, the bad apples are the ones who push unsuitable products on seniors in order to garner
September 01, 2007
A Word of ThanksThe Investment Advisor editorial staff wishes to extend special gratitude to the leaders of the 2006 Broker/Dealers of the Year for their willingness to share...
September 01, 2007
How We Define YouGreen: When you say [you're researching] "financial advisors," who do you mean--brokers, RIAs? Harrington: All of those. What's your term for the generic? I always say our...
September 01, 2007
Leading the WayThe representatives of independent broker/dealers are fiercely independent people who utterly reject the drawbacks (and benefits) of the wirehouse employee broker model. As independent reps,...
September 01, 2007
The Fair Value Pricing Gap Narrows"A more universal view of fair valuation policies and procedures exists today in the investment management industry," writes Paul Kraft, a partner in Deloitte &...