Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Brokers Want Growth, Recruiting, and Retention
By Staff WriterTo help their correspondents achieve these business goals, National Financial is launching two new initiatives to support these broker/dealers in their efforts to recruit and develop representatives.
October 11, 2007
Help in Times of CrisisEmergency planning for broker/dealers may get a bit easier with the Small Firm Emergency Partner Program announced October 11 by the Financial Industry Regulatory Authority (FINRA). The program encourages small firms to select a partner that's located far away and who clears through the same clearing firm, and agree to...
October 02, 2007
Firm Updates Statement GeneratorBenefit Software Inc. has released version 7.2 of the Fringe Facts Communicator software.Insurance brokers and others can use the Fringe Facts software to print out ...
October 01, 2007
A Shot in the DarkHow do registered representatives decide what to charge clients for their services? There are published prices for trades through various discount brokers who certainly have...
October 01, 2007
What Troubles InvestorsAmerican investors have significant anxiety about the security of their investments, particularly as it relates to their retirement savings, according to a new FINRA report....
October 01, 2007
NEWS & PRODUCTS, OCTOBER 2007FINRA has fined AXA Advisors, LLC, $1.2 million for "failing to adequately supervise its fee-based brokerage business, and for distributing misleading sales literature for its...
October 01, 2007
The Future of Fee-Based AccountsA collision of regulatory events has given a boost to the industry's move toward a fee-based business model -- with some pundits predicting dramatic change...
September 21, 2007
SEC Changes Principal Trading RuleThe SEC announced September 20 a temporary rule regarding principal trades with investment advisory accounts, Section 206(3) of the Advisers Act, which is intended to make October 1 compliance with the rollback of the Broker/Dealer Exemption Rule, which exempted brokers from regulation as an investment advisor even when they were...