Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Glass Half Full: Why Knut Rostad Remains Optimistic on Fiduciary
By Bob ClarkFor investors, says Rostad, the new normal is not just distrust, its disgust. So they, especially the young, will turn to technology solutions for their advice needs. How will you react?
August 14, 2012
Consultative Approach to Selling Voluntary Employee BenefitsVoluntary premiums are growing as much as 10 times faster than employer-paid premiums, according to a 2011 report by McKinsey & Company.
August 13, 2012
Raymond James, Wells Fargo Grab Morgan Stanley TeamsWells FiNet also adds a team from Citizens Bank, as MSSB sees an IT exec depart, as well.
August 10, 2012
How to overcome 19 straight "nos"Rejection exists in every profession. What matters is how you respond to it.
August 09, 2012
FINRA Launches Conflict-of-Interest Sweep of BDsFINRA says the sweep is just a way to better understand BDs' practices, but lawyers with BD clients suggest enforcement actions may be brewing.
August 08, 2012
DTCC: $79 Billion Annuity Transactions Processed in First Half of 2012The Depository Trust & Clearing Corporation processed almost 24 million annuity transactions totaling nearly $79 billion in the first half of 2012, the company reported today.
August 08, 2012
DTCC: $79 Billion Annuity Transactions Processed in First Half of 2012The Depository Trust & Clearing Corporation processed almost 24 million annuity transactions totaling nearly $79 billion in the first half of 2012, the company reported today.
August 08, 2012
Going for Gold: Rep. Bachus Wins the Prize for Fuzzy Thinking on RIA SROCongressman Bachus WSJ piece on the benefits of an SRO for advisors sets what might be a world record for faulty assumptions, wrong conclusions and inaccuracies.