Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Future of Fee-Based Accounts
By Ellen UzelacA collision of regulatory events has given a boost to the industry's move toward a fee-based business model -- with some pundits predicting dramatic change...
September 21, 2007
SEC Responds To Court DecisionThe U.S. Securities and Exchange Commission has agreed to adopt a temporary rule that will help financial services companies cope with a court ruling that ...
September 21, 2007
SEC Responds To Court DecisionThe U.S. Securities and Exchange Commission has agreed to adopt a temporary rule that will help financial services companies cope with a court ruling that ...
September 20, 2007
SEC Enacts Rules For Bank Broker-DealersEight 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 19, 2007
New Job Picture for '07For the first time in four years, U.S. employment contracted as a result of huge drops in construction and manufacturing payrolls, reports Jeff Testerman of BrokerHunter.com. Fears that the slowdown i
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 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...