Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How To Get Your Broker-Dealer To Bend Over Backward For You
By George ConnollyI run a broker-dealer, but I used to be a producer. Finding and acquiring great clients is often a difficult, cumbersome journey. That's why it ...
July 21, 2006
Labor To Require Electronic 5500 FilingThe Employee Benefits Security Administration says employers will have to file plan returns through the Internet starting with plan years beginning on or after Jan. ...
July 17, 2006
Quote Engine Gives COBRA RatesConexis has come out with a new tool that can determine prices for health coverage continuation benefits.Conexis, Dallas, a benefits administration unit of Word & ...
July 13, 2006
Estate Planning Intrigues Broker-DealersSecurities brokers are interested in learning about ways to use insurance to help clients keep their assets.The new interest of reps at national regional broker-dealer ...
July 01, 2006
News & ProductsThe Securities and Exchange Commission announced on May 31 the institution of proceedings against 15 broker/dealer firms for engaging in violative practices in the $200...
July 01, 2006
Optimistic OutlookWorkers in finance and accounting jobs are more optimistic about the economy, and their work lives, than their counterparts in the general U.S. labor pool,...
July 01, 2006
Ticked Off About TICSeth Pearson's article, "The Next Investment Scandal" (IA Soapbox, June 2006), contains several inaccuracies and overstatements about the TIC (tenants-in-common) industry. By using the word scandal,...
July 01, 2006
Two Faces of Wall StreetPeople who work on Wall Street in "financial professional" capacities, that is, as registered representatives, investment advisors, investment bankers, analysts, or traders realize that they...