Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FPA Applauds SEC Decision Not to Appeal
By Melanie WaddellThe Financial Planning Association said it is pleased that the SEC will not appeal the court ruling exempting brokers from being subject to regulation as investment advisors in fee-based brokerage accounts
May 09, 2007
NASD Imposes Military Sales FinesThe National Association of Securities Dealers today fined 2 broker-dealers $400,000 in connection with allegations that they gave misleading investment plan sales literature to U.S. ...
May 08, 2007
NASD Imposes Military Sales FinesThe National Association of Securities Dealers today fined 2 broker-dealers $400,000 in connection with allegations that they gave misleading investment plan sales literature to U.S. ...
May 08, 2007
Performance Is Critical With Managed AccountsWhen it comes to separately managed accounts, performance is the top issue for advisors, according to a recent poll conducted by Market Metrics of Quincy, Massachusetts. But strong sales and marketing support are important as well because it helps to "accelerate growth for money managers," said Joe Babiec, principal at...
May 01, 2007
What McCarran-Ferguson DoesThe McCarran-Ferguson Act, passed in 1945, offers a number of benefits to the insurance industry that it would otherwise not possess due to federal antitrust...
May 01, 2007
The SemifinalistsFollowing 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
The Street's Record YeaThe fourth quarter of 2006 closed a record-breaking year for the U.S. securities industry, according to a report from the Securities Industry and Financial Markets...
May 01, 2007
NEWS & PRODUCTS, May 2007NAVA, the Association for Insured Retirement Solutions, announced that total VA sales for 2006 were $157.3 billion, representing an 18.2% increase from 2005's sales of...