Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Firms Pan Proposed NASD Entertainment Limits
By Staff WriterFinancial services executives are trying to defend the ability of broker-dealers to take business associates out for meals.Executives say a rule interpretation proposed by the ...
March 05, 2006
Broker-Dealers Gripe That More Companies Are Hard To Work WithFinancial services companies that are difficult to work with are a financial drain on most broker-dealers' practices, a new survey reveals, and among the broker-dealers' ...
March 01, 2006
The Benefits of BigIndividual RIAs and smaller broker/dealers appear to most keenly feel the burden of compliance, but what of the larger broker/dealers? "We can spread costs across...
March 01, 2006
Fast Start for the FSIGreeting attendees at the second annual Financial Services Institute's Broker-Dealer Conference on January 23, conference chair Jeff Montgomery noted that FSI "got here as fast...
March 01, 2006
Return of the Broker?Full-service brokers are regaining favor among affluent investors, according to the Spectrem Affluent Study 2005. But even as the research showed that more affluent investors...
March 01, 2006
Here, There and EverywhereA new study by Moss Adams claims that dual registration--which means advisors who are registered with both the SEC and the NASD, and are collecting...
March 01, 2006
Safety FirstFew prudent drivers would take to the road without having their cars adequately insured, even if it were legally permissible. In these days when a...
February 21, 2006
Report Sees Backlog PerilMcLEAN, Va. (HedgeWorld.com)--BearingPoint Inc., a technology consultant, issued a white paper on what it sees as a backlog crisis in the credit derivatives industry. In a press release issued with the paper, BearingPoint observed that on Thursday [Feb. 16], the New York Federal Reserve is expected to meet to discuss...