Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Semifinalists
By Staff WriterFollowing suggestions from our regular contributors, nominations from within the industry, and the editorial staff's own personal submissions, this is the list of semifinalists from...
May 01, 2007
Training DaysTo train or not to train? That is the question -- unless you happen to be a financial advisor; then you have no choice. Training...
May 01, 2007
Exemption Vacation"To be, or not to be?" a fiduciary (with all apologies to Bill Shakespeare) is the question of the hour for broker/dealers. While nobody is...
April 10, 2007
SIFMA Urges SEC Back to Court Over Broker/Dealer ExemptionSince the March 30 Washington D.C. Court of Appeals overturn of the SEC's broker/dealer exemption from fiduciary responsibility for fee-based brokerage accounts, there has been a distinct point-counterpoint repartee, albeit indirectly, between the Financial Planning Association, which filed the lawsuit in 2004 protesting the broker/dealer exemption, and the Securities Industry...
April 03, 2007
Commissioners Want Insurers' Antitrust Exception AbolishedA federal commission recommended today that Congress consider eliminating insurers' limited antitrust exemption, saying recent trends argue for ending such arrangements.The recommendation was contained in ...
April 03, 2007
Commissioners Want Insurers' Antitrust Exception AbolishedA federal commission recommended today that Congress consider eliminating insurers' limited antitrust exemption, saying recent trends argue for ending such arrangements.The recommendation was contained in ...
April 01, 2007
Integrity matters most"Don't compromise yourself. You are all you've got." - Janis Joplin Seniors don't want to deal with "any old salesman." They want to work with someone with integrity and experience, backed by a strong, reputable company that is highly rated in the
April 01, 2007
A Compliance CultureReceNt NASD actions have led to increased compliance efforts on the part of many firms. The Financial Services Institute has released "Independent Broker-Dealers: Building a...