Broker Dealers
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Industry trade associations merge
By staff WriterTwo of the better-known trade associations in the insurance and financial services industry approved a merger that went into effect Jan. 1. LIMRA International and LOMA members voted to unite the organizations, and they did so with a unanimous
April 01, 2008
NEWS & PRODUCTS, APRIL 2008FINRA has settled cases against five firms for mutual fund sales and supervisory violations, imposing an $800,000 fine against Prudential Securities and a $750,000 fine...
April 01, 2008
Swami MarketingJust the other day, I visited a friend of mine at his office. While I was waiting in the lobby, I happened to pick up...
April 01, 2008
Bear Stearns Debuts Active ETF (Really!)Bear Stearns was planning to make a splash by offering the world's first actively managed ETF on March 18th, but instead the company got hit...
April 01, 2008
Annuity AssistanceIn a world where instant gratification is the norm, tools like AnnuityQuickQuote.com could come in handy. The site, launched in September 2007, provides immediate annuity...
April 01, 2008
FINRA and SEC Look to Build BridgesKeeping the lines of communication open between broker firms and the regulating agencies of the Financial Industry Regulatory Authority and the Securities and Exchange Commission...
April 01, 2008
Going the Extra MileI catch up with Joe Calloway in the hotel lobby during OneVoice, the 2008 Broker-Dealer Conference organized by the Financial Services Institute. A busy man...
March 27, 2008
Benefits Broker Backs Philadelphia Charity EffortCorporate Synergies Inc. is helping to sponsor a dining and dancing event April 14 for the greater Philadelphia chapter of the Amyotrophic Lateral Sclerosis Association.The ...