Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
NAIC And ACLI Tangle On OFC And McCarran Repeal
By Arthur D. PostalThe National Association of Insurance Commissioners implored Congress last week to consider amendments to the antitrust exemption insurers have under the McCarran-Ferguson Act and initiatives ...
March 01, 2007
An Independent VoiceThe Financial Services Institute (FSI) kicked off its annual conference at Disney World in Orlando, Florida, on January 29 with the group's new chair, John...
March 01, 2007
How the Affluent FeelThe New Year did not change the outlook of the affluent significantly, according to the Spectrem Group's research. The Spectrem Affluent Investor Index, which measures...
March 01, 2007
Monopoly GameWill broker/dealers be paying more for market data from now-public securities exchanges? Who owns the market data that is created by market makers and broker/dealers...
March 01, 2007
First ImpressionsYou only get one chance to make a first impression. I remember how my dad used to tell me that over and over again. And...
March 01, 2007
The Harvard of Broker-DealersIf you want to know what a broker-dealer is like," says Joseph Deitch over a cup of first-rate lobster bisque at the Harvard Club on...
March 01, 2007
News & Products, March 2007National Financial announced February 1 that it is expanding its alliance program by adding Fetter Logic Inc. to offer a suite of data management tools...
March 01, 2007
Are Brokers Entitled to Overtime Pay?It started with, "Huh -- brokers should be paid overtime?" Fast forward, Smith Barney and UBS have settled nationally (for $98 million and $89 million,...