Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Brokers Sell More VAs, Study Finds
By Trevor ThomasApparently shaking off the bad publicity from a series of state and federal investigations into variable annuity sales, brokers and other investment professionals increased ...
July 25, 2005
NASD Tells Members To Keep Tabs On VendorsThe National Association of Securities Dealers is warning member firms against trying to outsource responsibility for tasks such as preparing for disasters and supervising ...
July 19, 2005
Firm To Charge $5 Per Head For Enrollment ToolOnlineBenefits Inc. is rolling out the Ready...Enroll Express benefits enrollment system.[@@]Brokers can pay a price that starts at $5 per employee to use the ...
July 06, 2005
New Disability Group FormedDisability insurance producers have set up a new group for all participants in the disability industry.The new International DI Society will serve insurance company ...
June 28, 2005
Mangan To Run Hub Benefits OperationHub International Ltd. has hired Thomas Mangan to be president of the employee benefits division in its Woodbury, N.Y., Northeastern regional office.[@@]Mangan previously was ...
June 15, 2005
NAIC Leaves Broker Fee Model UnchangedThe National Association of Insurance Commissioners has closed the door on further efforts to expand the reach of the broker compensation disclosure model amendment ...
June 09, 2005
NASD Levies Fines of $34 Million on 15 Broker/Dealers for Shelf Space ViolationsPart of effort to remove conflicts of interest
June 08, 2005
NASD Fines AIG And AXA UnitsThe National Association of Securities Dealers has imposed $34 million in fines on broker-dealers for directing customers to mutual funds that paid the broker-dealers ...