Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Best in the Business
By Staff WriterThe independent broker/dealer world is as diverse as its thousands of independent contractor representatives. From large to small, from new to well-established, from homes for...
August 09, 2006
Regulator Fines Broker-Dealer AffiliatesThe National Association of Securities Dealers Inc. has imposed $7 million in penalties on 4 related broker-dealers in connection with allegations of problems with compensation ...
August 07, 2006
Investment Advisor Readers Pick Broker/Dealers of the YearFor the 16th straight year, readers of Investment Advisor have chosen their Broker/Dealers of the Year in balloting at www.investmentadvisor.com.
August 07, 2006
Lawsuit Challenges Utah FTD StatuteUtah state officials acknowledged knowing of a lawsuit seeking to invalidate the new state statute intended to address the issue of naked short-selling, but said Friday that the nominal defendant in the lawsuit, the director of the state's securities division of its Commerce Department, hadn't received service.
August 01, 2006
News & ProductsGenworth Financial is beefing up its asset management business: the company is buying AssetMark Investment Services, with $8 billion under management, to complement its Genworth...
August 01, 2006
A New Regulatory Framework?In a move that may be the opening salvo in a fight for unified investor protection rules, the SEC is seeking information from potential contractors...
July 30, 2006
How To Get Your Broker-Dealer To Bend Over Backward For YouI run a broker-dealer, but I used to be a producer. Finding and acquiring great clients is often a difficult, cumbersome journey. That's why it ...