Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Five Core Principles of the Authentic Fiduciary Standard
By Kate McBrideLeaders in the investment industry have called on Congress to "adopt an authentic fiduciary standard in Wall Street reforms," and offered "five core principles" to help clear up what fiduciary means for investors.
July 10, 2009
Ameriprise Hit with SEC Enforcement ActionAmeriprise Financial Services, Inc., has agreed to pay the Securities and Exchange Commission $17.3 million to settle an enforcement action.
July 09, 2009
Art Lures NAHU AttendeesAflac Inc. commissioned a painting of its spokesduck to get the attention of the agents and brokers attending the recent National Association of Health Underwriters convention in New York.
July 08, 2009
Senior Market Advisor editor brings home the goldSenior Market Advisor managing editor, Andy Stonehouse, was honored July 9 in Kansas City, Mo., at the American Society of Business Publication Editors 2009 Western Region Awards. Stonehouse took home a Gold Award for Investigative News Analysis for
July 06, 2009
Marketing Organizations Ramp Up RecruitingMuch has been written in recent years about carriers' efforts to attract and retain insurance and financial advisors in the independent channel.
July 05, 2009
Marketing Organizations Ramp Up RecruitingMuch has been written in recent years about carriers' efforts to attract and retain insurance and financial advisors in the independent channel.
July 01, 2009
Morgan Stanley Smith Barney: Venture Completes Its First StepsMorgan Stanley and Citi say they have finished the initial work on their Morgan Stanley Smith Barney joint venture, which had been targeted to close...