Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Cost of Compliance
By Kate McBrideThe securities industry spent about $25 billion on compliance in 2005, up from $13 billion in 2003, while firms spent an average of 13.1% of...
April 21, 2006
AXA Names New Sales ExecAXA Distributors LLC has appointed William C. Miller Jr. as chief sales officer, effective April 24.Subject to approval by the AXA board, Miller will become ...
April 09, 2006
The Future Remains Bright For The Voluntary MarketInsurance carriers and brokers continue to be enthusiastic about the future for voluntary worksite benefit sales. While it will be a few more weeks before ...
April 09, 2006
Selling Voluntary Products: Individual Or Group?Since about 1974, I have sold both individual and group voluntary products and think I can present a reasonably unbiased view of the pros and ...
March 30, 2006
Fidelity Rolls Out Roadmap for Breakaway BrokersOnline tool allows reps to build customized plan for starting own RIA
March 23, 2006
Selling To The Moderately RichBroker-dealer home offices should try to help advisors with the drudgework involved with serving "emerging affluent" investors.Researchers at Cerulli Associates Inc., Boston, present that conclusion ...
March 19, 2006
Regulators May Have Tilted Broker Playing FieldThe recent broker compensation investigations may have given local and regional benefits brokers help in competing with the big, national brokers in the group disability ...
March 19, 2006
Regulators May Have Tilted Broker Playing FieldThe recent broker compensation investigations may have given local and regional benefits brokers help in competing with the big, national brokers in the group disability ...