Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Performance Is Critical With Managed Accounts
By Melanie WaddellWhen it comes to separately managed accounts, performance is the top issue for advisors, according to a recent poll conducted by Market Metrics of Quincy, Massachusetts. But strong sales and marketing support are important as well because it helps to "accelerate growth for money managers," said Joe Babiec, principal at...
May 01, 2007
The Street's Record YeaThe fourth quarter of 2006 closed a record-breaking year for the U.S. securities industry, according to a report from the Securities Industry and Financial Markets...
May 01, 2007
NEWS & PRODUCTS, May 2007NAVA, the Association for Insured Retirement Solutions, announced that total VA sales for 2006 were $157.3 billion, representing an 18.2% increase from 2005's sales of...
May 01, 2007
Training DaysTo train or not to train? That is the question -- unless you happen to be a financial advisor; then you have no choice. Training...
May 01, 2007
Exemption Vacation"To be, or not to be?" a fiduciary (with all apologies to Bill Shakespeare) is the question of the hour for broker/dealers. While nobody is...
April 10, 2007
SIFMA Urges SEC Back to Court Over Broker/Dealer ExemptionSince the March 30 Washington D.C. Court of Appeals overturn of the SEC's broker/dealer exemption from fiduciary responsibility for fee-based brokerage accounts, there has been a distinct point-counterpoint repartee, albeit indirectly, between the Financial Planning Association, which filed the lawsuit in 2004 protesting the broker/dealer exemption, and the Securities Industry...
April 03, 2007
Commissioners Want Insurers' Antitrust Exception AbolishedA federal commission recommended today that Congress consider eliminating insurers' limited antitrust exemption, saying recent trends argue for ending such arrangements.The recommendation was contained in ...
April 03, 2007
Commissioners Want Insurers' Antitrust Exception AbolishedA federal commission recommended today that Congress consider eliminating insurers' limited antitrust exemption, saying recent trends argue for ending such arrangements.The recommendation was contained in ...