Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
NASD Board Approves NYSE Reg Merger
By Staff WriterMajor securities regulatory agencies are coming a step closer to joining forces.Members of the National Associated of Securities Dealers board have voted to approve a ...
December 01, 2006
The Road AheadResearch: 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
NEWS & PRODUCTSGoldman Sachs and Lehman Brothers won Diversity Leadership Awards from the Securities Industry and Financial Markets Association (SIFMA). Goldman Sachs received the Sustained Leadership Award...
December 01, 2006
Brokers Share Mixed Feelings, as BD Stock Index ReboundsBrokers say they are happier today than they were last year, especially in terms of compensation. Many, though, would switch the type of firm they...
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 ...