Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Sales and Suitability -- Dateline NBC
By Daniel WilliamsI'm sure most of you saw Dateline NBC last Sunday. After talking with carriers, wholesalers and advisors, what struck me the most about "Tricks of the Trade" was not the piece itself, but the industry's reaction. No one panicked. No one reacted
April 10, 2008
Targeted sales techniquesFollow the 80-20 rule. The more you listen, and ask great questions along the way to elicit more and deeper levels of understanding, the more likely your response will be on target. Make it about them. Once you understand the prospect, tailor you
April 02, 2008
Feature: is 'shopping' settlement brokers a good idea?Shopping for better rates is a common practice when purchasing insurance, to the point that one major auto insurer even offers to provide consumers with their competitors' rates.
April 01, 2008
NEWS & PRODUCTS, APRIL 2008FINRA has settled cases against five firms for mutual fund sales and supervisory violations, imposing an $800,000 fine against Prudential Securities and a $750,000 fine...
April 01, 2008
Swami MarketingJust the other day, I visited a friend of mine at his office. While I was waiting in the lobby, I happened to pick up...
April 01, 2008
Bear Stearns Debuts Active ETF (Really!)Bear Stearns was planning to make a splash by offering the world's first actively managed ETF on March 18th, but instead the company got hit...
April 01, 2008
Annuity AssistanceIn a world where instant gratification is the norm, tools like AnnuityQuickQuote.com could come in handy. The site, launched in September 2007, provides immediate annuity...
April 01, 2008
FINRA and SEC Look to Build BridgesKeeping the lines of communication open between broker firms and the regulating agencies of the Financial Industry Regulatory Authority and the Securities and Exchange Commission...