Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Three-Part Harmony
By Staff WriterIf what SEC Chairman Christopher Cox and NASD Chairman and CEO Mary Schapiro each spoke of at the Securities Industry and Financial Markets Association (SIFMA) conference in Boca Raton on November 9 and 10 comes to pass, a harmonious set of rules from the NASD and NYSE, and a unified...
November 05, 2006
SEC Takes Issue With VA and EIA Sales MaterialsThe Securities and Exchange Commission is finding a "particular problem" with advertising and marketing materials associated with the sale of variable annuities and equity indexed ...
November 01, 2006
UnumProvident Settles With New York And CaliforniaA disability insurer has announced a pair of broker compensation settlement agreements.UnumProvident Corp., Chattanooga, Tenn., has negotiated one broker comp settlement with New York Attorney ...
November 01, 2006
Dow Jones Combines CRM and NewsIn the race to develop a service for advisors that combines content and client communications, Dow Jones is the latest to market with the launch...
November 01, 2006
NEWS & PRODUCTSBank of America, the second-largest U.S. commercial bank, has begun offering free online stock trades for individual investors who deposit $25,000 or more at the...
November 01, 2006
Yearning for Learning"That's the last test I'll ever take!" How many of us have said just these words after finishing a required licensing exam? Unfortunately, if you...
November 01, 2006
A Higher Level of CompetenceRuss Morton is a big man, which is what you'd expect of a University of Oklahoma graduate who spent the first decade of his career...
November 01, 2006
Industry Spotlight: InsuranceChanging dynamics mean new opportunities in the insurance sector, equity analysts say. Stewart Johnson Friedman, Billings, Ramsey & Co. 212-381-9219 [email protected] Area of Coverage: Life Insurance Outlook: The industry outlook in...