Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Resolution
By Bill MillerWith one hand on my heart and my browser aimed directly at Travelocity.com, I hereby declare that my 2007 New Year's Resolution is (drum roll,...
January 01, 2007
Symbiotic RelationshipsWhen broker/dealers select a clearing firm to partner with, it pays to be choosy. This is one of the most critical relationships that any broker/dealer...
January 01, 2007
Securities and Bond Groups Merge, SIFMA Now Represents the Industry(Boca Raton, Fla.) Last year, comedian Dennis Miller turned a few people off with his racy humor. This year, it was a new organization's name...
January 01, 2007
A New SRO's in TownThe move to consolidate two broker/dealer self-regulatory organizations--NASD and the NYSE--and their corresponding and sometimes conflicting sets of rules into one unified SRO has picked...
December 31, 2006
How to create instant deep rapportPreviously, we stated that some 93 percent of what determines someone's impact when communicating is largely unconscious. We noticed that deep rapport is created not by accident but by the application of certain skills. That deep rapport and intense
December 07, 2006
NASD Board Approves NYSE Reg MergerMajor securities regulatory agencies are coming a step closer to joining forces.Members of the National Associated of Securities Dealers board have voted to approve a ...
December 01, 2006
Zero Sum GameIn October, Bank of America and Zecco.com each announced plans to offer clients zero commissions on stock trades. Zecco.com announced that for a minimum deposit...
December 01, 2006
2006 Advisor Hall of FameWelcome to Research magazine's Advisor Hall of Fame, now in its 16th year. This eagerly anticipated annual feature has become a benchmark of excellence in...