Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Compliance Chiefs Want To Team Up Against Bad Practices
By Matt BradyManufacturers and distributors need to communicate more to root out unsuitable sales.Speakers delivered that message here during a panel discussion at the annual meeting of ...
October 01, 2006
Taking It to The HillIndependent broker/dealers and investment advisors lobbied members of Congress with a three-pronged message during the Financial Services Institute's (FSI) Public Policy Day in Washington September...
October 01, 2006
News & ProductsHow sweet it is: KeyCorp is selling its McDonald Investments branch network to UBS, and the approximately 340 reps in those 51 branches are being...
October 01, 2006
Raymond James Assoc. Signs Brokerage PactIn another push to let Raymond James & Associates' brokers know that they "own their book of business," the retail brokerage unit of Raymond James...
October 01, 2006
What Matters MostWhen we asked reps to rate their broker/dealers in the 16th annual IA Broker/Dealer of the Year Poll, reps got to vote in 15 categories....
October 01, 2006
Standing TallFor as long as there have been things to invest in, from seeds and livestock to railroads and cars, from the telephone and electric utilities...
October 01, 2006
Seeking LiquidityDespite the enormous potential the life settlement market offers, experts are not sure how quickly it will get going. There has been too much confusion...
September 25, 2006
Different Firms, Different Characteristics"Competitive forces are reshuffling," the independent broker/dealers, but the 2006 FSI Financial Performance Survey of Independent Broker/Dealers finds an increase in revenue, the number of profitable firms, numbers of representatives, and margins, according to Philip Palaveev, senior manager at Seattle-based Moss Adams LLP, and research leader on this study.