Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Migration Time
By Kate McBrideRecent events in the broker/ dealer world may have set the stage for higher than usual firm-to-firm migration by representatives, some of whom have been...
October 16, 2007
Advantage: RIAI read an interesting article the other day pertaining to the recently overturned broker dealer rule. You see, I am currently in the process of...
October 12, 2007
Expanded Clearing OptionsAffiliates of Linsco/Private Ledger, (LPL) will have additional choices when it comes to clearing, as LPL will offer a choice of clearing through Pershing or LPL platforms.
October 11, 2007
Help in Times of CrisisEmergency planning for broker/dealers may get a bit easier with the Small Firm Emergency Partner Program announced October 11 by the Financial Industry Regulatory Authority (FINRA). The program encourages small firms to select a partner that's located far away and who clears through the same clearing firm, and agree to...
October 02, 2007
Firm Updates Statement GeneratorBenefit Software Inc. has released version 7.2 of the Fringe Facts Communicator software.Insurance brokers and others can use the Fringe Facts software to print out ...
October 01, 2007
A Shot in the DarkHow do registered representatives decide what to charge clients for their services? There are published prices for trades through various discount brokers who certainly have...
October 01, 2007
What Troubles InvestorsAmerican investors have significant anxiety about the security of their investments, particularly as it relates to their retirement savings, according to a new FINRA report....
October 01, 2007
NEWS & PRODUCTS, OCTOBER 2007FINRA has fined AXA Advisors, LLC, $1.2 million for "failing to adequately supervise its fee-based brokerage business, and for distributing misleading sales literature for its...