Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Glauber Calls EIA Disclosure "Daunting"
By Staff WriterThe head of the National Association of Securities Dealers Inc. has warned NASD members about his concerns about the complexity of equity-indexed annuities.Analyzing the suitability ...
May 01, 2006
News & ProductsFines, Complaints, Mergers The NASD fined American General Securities Inc., a member company of AIG, more than $1.1 million for violations of NASD's Anti-Reciprocal Rule. NASD...
May 01, 2006
The Cost of ComplianceThe 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...
May 01, 2006
Breaking AwayFor brokers, a successful transition to independence is contingent upon taking that decisive, entrepreneurial leap--a giant step away from the comforts of compliance departments, tech...
May 01, 2006
Pick ThreeIt's not easy to change your broker/dealer. When readers cast their ballot for the magazine's annual Broker/Dealers of the Year honors (voting in June; results...
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 ...