Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Road Ahead
By Robert Scott MartinResearch: What's facing the FSI and the industry in 2007 and beyond? Simmers: The No. 1 challenge -- from the Financial Services Institute's point of view...
December 01, 2006
Holiday CheerIf you're like most advisors, your mailbox is already starting to bulge with holiday cards wishing you and yours a happy holiday season. (In the...
December 01, 2006
Three-Part HarmonyGet out your pitch pipe, and sing along as the SEC begins in the first quarter of 2007 to look at proposals for regulatory rules...
December 01, 2006
Shifting TidesIn Research's June 2006 issue, the article "Going Independent" taught us that the financial services industry continues to attract new entrants. The industry segment showing...
November 19, 2006
Data Security Doesn't Happen With The Flip Of A SwitchWhen was the last time you heard someone say that something had "slipped through the cracks?"It's a common enough euphemism. We generally use it when ...
November 13, 2006
Three-Part HarmonyIf what SEC Chairman Christopher Cox and NASD Chairman and CEO Mary Schapiro each spoke of at the Securities Industry and Financial Markets Association (SIFMA) conference in Boca Raton on November 9 and 10 comes to pass, a harmonious set of rules from the NASD and NYSE, and a unified...
November 08, 2006
FPA Says Public Deserves Better ProtectionA proposed rule by the Massachusetts Security Division, which would prohibit financial services professionals from using misleading professional designations has received the public endorsement of the Financial Planning Association.
November 05, 2006
SEC Takes Issue With VA and EIA Sales MaterialsThe Securities and Exchange Commission is finding a "particular problem" with advertising and marketing materials associated with the sale of variable annuities and equity indexed ...