Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
A Catalyst of Change
By Kate McBridePerhaps the catchword for independent broker/dealer business for 2007 is change. As John Simmers becomes chairman of the Financial Services Institute (FSI), unprecedented change is...
January 22, 2007
NASD Members Say Yes to SROThe votes have been counted and NASD members have approved a change to NASD bylaws that will result in the combination of NYSE and NASD regulatory arms into a unified self regulatory organization (SRO), the NASD announced on January 21. The new organization means one entity will oversee broker/dealers with...
January 11, 2007
Survey Finds Increase In Worksite Market ConfidencePlayers in the employee-paid insurance market may be feeling better about the market's performance over the next 12 months.Researchers at Eastbridge Consulting Group Inc., Avon, ...
January 09, 2007
Intercompany LTCI Conference To Be Held March 25-28 in DallasJan. 9, 2007 The Seventh Annual Intercompany LTCI Conference will be held at the Adam's Mark Hotel, in Dallas, Texas from March 25-28, 2007. Visit http://www.iltciconf.com/ for details and registration. This year's
January 04, 2007
FSI Names John Simmers of ING as ChairmanThe Financial Services Institute (FSI) has announced the election of new leaders for 2007. The new Chairman is John Simmers, CEO of El Segundo, California-based ING Advisors Network. Simmers is currently an industry member of the NASD board of governors. In his role with FSI, Simmers succeeds John Poff, president...
January 01, 2007
The ResolutionWith one hand on my heart and my browser aimed directly at Travelocity.com, I hereby declare that my 2007 New Year's Resolution is (drum roll,...
January 01, 2007
Where'd It Go?Much of the focus in this month's Investment Advisor is on looking forward. Here's a brief look back at where investors were putting their money...
January 01, 2007
NEWS & PRODUCTSBank of New York and Mellon Financial Corporation announced plans to merge. The new firm, named Bank of New York Mellon Corporation, will be New...