Broker Dealers
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Best Practices and Worst Pitfalls of Great Companies: FSI OneVoice 2012
By John SullivanIn a rapid-fire, and at times emotional, closing keynote on Tuesday, author and business consultant Simon Sinek implored audience members at FSIs conference in Orlando to go beyond the norm in how they think of themselves, their product and their clients.
January 24, 2012
FSI Doubles FA Membership in One Year. Will They Stay?: FSI OneVoice 2012FSIs senior staff and leadership discussed the organizations strong growth rate, regulatory challenges faced by IBDs and the issues they face when attempting to bring quality, affordable financial advice to middle America.
January 23, 2012
FSI OneVoice 2012: Warning to Regulators From Spider-Man, Other IBD LeadersAt annual confab of independent BD leadership, Jim Nagengast, conference chairman, opened the forum espousing industry unity and warned Washington to not abuse its regulatory power.
January 20, 2012
Wirehouse Push Into Indie-BD Space Could Follow Wells’ ModelBut making a semi-independent or fully independent channel work within the wirehouse world is no easy feat, experts say.
January 20, 2012
IMCA Conference Comes to NYC Featuring Ezrati, GolubIMCA will bring a wealth of speakers to its Jan. 30-31 consultants conference on Times Square in New York City.
January 20, 2012
New Tool for BDs to Meet FINRA Rule 2111 on Suitability StandardsIpreo launches new compliance certificate to meet revised suitability standard, establishing a BD's ability to exercise independent judgment.
January 19, 2012
Advisor Group Indie BD Network to Roll Out Salesforce.com CRMThe Advisor Group technology launch brings Salesforce Sales Cloud, Service Cloud and Chatter to nearly 5,000 advisors from FSC, Royal Alliance and SagePoint.
January 18, 2012
Q4 Earnings: BNY Mellon Profits Drop 25%; Pershing FlatBNY Mellons Q4 profits totaled $0.42 per share compared with $0.54 per share in the fourth quarter of 2010. Analysts had anticipated EPS of $0.52 in Q4.