Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
A Personal Retrospective
By Patricia J. AbramSix months after Research celebrates its 30th anniversary this summer, I'll be celebrating my 30th anniversary of working in the financial services industry. While many...
April 15, 2008
Sales and Suitability -- Dateline NBCI'm sure most of you saw Dateline NBC last Sunday. After talking with carriers, wholesalers and advisors, what struck me the most about "Tricks of the Trade" was not the piece itself, but the industry's reaction. No one panicked. No one reacted
April 13, 2008
Steps taken to protect seniorsSenior Advisors know that it only takes a few bad apples to draw unrelenting scrutiny of everyone's actions. That is happening in the industry right now, and regulatory agencies have taken note. A new initiative has grown out of the atmosphere of
April 11, 2008
Industry trade associations mergeTwo 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 10, 2008
Targeted sales techniquesFollow the 80-20 rule. The more you listen, and ask great questions along the way to elicit more and deeper levels of understanding, the more likely your response will be on target. Make it about them. Once you understand the prospect, tailor you
April 02, 2008
Feature: is 'shopping' settlement brokers a good idea?Shopping for better rates is a common practice when purchasing insurance, to the point that one major auto insurer even offers to provide consumers with their competitors' rates.
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...