Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Protect Yourself
By Melanie WaddellWhen it comes to protecting themselves from disgruntled clients and the long arm of regulators, advisors and their broker/dealers have to be on the ball....
June 21, 2007
New Super SRO NamedMary Schapiro announced in a speech June 19 that the new self-regulatory organization (SRO) formed by the consolidation of NASD and NYSE Member Regulation is called the Securities Industry Regulatory Authority (SIRA).
June 19, 2007
Eastbridge: Brokers Lead In Worksite SalesEmployee benefit brokers accounted for 46% of worksite sales in 2006, according to Eastbridge Consulting Group Inc.Career agents captured a 29% share of the market; ...
June 14, 2007
Appeals Court Bars NASD Termination Form Libel SuitsNew York financial services companies enjoy at least a "qualified privilege" and possibly an "absolute privilege" to write what they want to write in the ...
June 11, 2007
Brokers International, Ltd. Announces Re-Branding CampaignDuring the past 52 years, the insurance industry has watched as Brokers International, Ltd., Panora, Iowa, has grown to become one of the nation's leading insurance marketing companies. The company was founded in 1955 by CEO Roger McCarty. Mr.
June 10, 2007
To Grow Disability Sales, Think Outside The (Information) BoxDespite the fact that only 35% to 40% of employers offer LTD coverage as an employee benefit, growing a long-term disability customer base has become ...
June 08, 2007
Who 'Owns' the Client?Last week, I raised the issue of junior advisors leaving their firm and taking some of the clients with whom they work. Because this situation...
June 07, 2007
Focus on the Optimal ClientSuccession planning was a recurrent theme at Pershing's 2007 Insite conference