Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
(Yawn)
By Ellen UzelacWhat happened to the much-anticipated RAND report? Players across the industry expected the study, ordered by the Securities and Exchange Commission, to provide guidance about...
February 24, 2008
More Brokers And Advisors Are Looking To Roam, Study FindsAbout 9% of brokers and advisors say they are likely to consider switching from their current employer to another firm in the next 12 months, ...
February 12, 2008
Top Two Corporate Bond Platforms MergingThe two leading retail corporate bond platforms are about to merge. Incapital announced February 10 that it has entered into a definitive agreement with Bank of America to acquire its LaSalle Broker Dealer Services Division.
February 10, 2008
Mackey To Step Down As NAVA ChiefMark Mackey will resign as president and CEO of NAVA Inc. as of the end of October, the association announced.NAVA, Reston, Va., has launched a ...
February 01, 2008
Seeking suitabilityCompanies and advisors flustered by a suddenly intense focus on the industry have turned their eyes to more carefully verifying the notions of suitability. But a variety of new programs and some unique efforts on the part of providers will help
February 01, 2008
Economies of ScaleAs an example of ways in which the new organization of LL Global can help the financial services industry, Howard Drescher of LIMRA points to...
February 01, 2008
Litigation A-Go-GoFollowing months of giant bank and broker/dealer write-downs, losses, CEO expulsions, runs on banks, and the pummeling of shareholder value at many of the world's...
February 01, 2008
A Busy Year in WashingtonThe New Year is upon us, and perhaps the most significant event for the advisory industry has already taken place--the Rand report assessing the advisory...