Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
New Super SRO Named
By Melanie WaddellMary Schapiro announced in a speech June 19 that the new self-regulatory organization (SRO) formed by the consolidation of NASD and NYSE Member Regulation is called the Securities Industry Regulatory Authority (SIRA).
June 11, 2007
Brokers International, Ltd. Announces Re-Branding CampaignDuring the past 52 years, the insurance industry has watched as Brokers International, Ltd., Panora, Iowa, has grown to become one of the nation's leading insurance marketing companies. The company was founded in 1955 by CEO Roger McCarty. Mr.
June 10, 2007
To Grow Disability Sales, Think Outside The (Information) BoxDespite the fact that only 35% to 40% of employers offer LTD coverage as an employee benefit, growing a long-term disability customer base has become ...
June 08, 2007
Who 'Owns' the Client?Last week, I raised the issue of junior advisors leaving their firm and taking some of the clients with whom they work. Because this situation...
June 07, 2007
Focus on the Optimal ClientSuccession planning was a recurrent theme at Pershing's 2007 Insite conference
June 07, 2007
Bank Broker-Dealers Increase Sales In AprilThe Bank Insurance & Securities Association bank broker-dealer productivity index was 17% higher in April than it was in April 2006, BISA saysAverage broker revenue ...
June 01, 2007
Make Your Vote CountBallotting for Investment Advisor's 17th annual Broker/Dealers of the Year awards will take place online only at www.investmentadvisor.com from June 1 through July 1. All...
June 01, 2007
NEWS & PRODUCTS, June 2007NASD has fined two Fidelity broker/dealers for preparing and distributing misleading sales literature promoting Fidelity's Destiny I and II Systematic Investment Plans, which were sold...