Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
UBS-Piper Jaffray Deal: 'It's a Terrific Deal'
By Janet LevauxUBS is buying Piper Jaffray, which could bring it 800-plus advisors and put it more solidly in fourth place behind Merrill Lynch, Wachovia Securities and...
May 19, 2006
Glauber Calls EIA Disclosure "Daunting"The head of the National Association of Securities Dealers Inc. has warned NASD members about his concerns about the complexity of equity-indexed annuities.Analyzing the suitability ...
May 19, 2006
Glauber Calls EIA Disclosure "Daunting"The head of the National Association of Securities Dealers Inc. has warned NASD members about his concerns about the complexity of equity-indexed annuities.Analyzing the suitability ...
May 02, 2006
Number of CAIA Holders Continues to GrowAMHERST, Mass. (HedgeWorld.com)--The Chartered Alternative Investment Analyst Association is set to double once again the number of registrants for its exam for the CAIA designation. Craig Asche, executive director for the association, said that 1,200 registered for the group's February exam, which is just 200 shy of the total number...
May 01, 2006
News & ProductsFines, Complaints, Mergers The NASD fined American General Securities Inc., a member company of AIG, more than $1.1 million for violations of NASD's Anti-Reciprocal Rule. NASD...
May 01, 2006
The Cost of ComplianceThe securities industry spent about $25 billion on compliance in 2005, up from $13 billion in 2003, while firms spent an average of 13.1% of...
May 01, 2006
Breaking AwayFor brokers, a successful transition to independence is contingent upon taking that decisive, entrepreneurial leap--a giant step away from the comforts of compliance departments, tech...
May 01, 2006
Pick ThreeIt's not easy to change your broker/dealer. When readers cast their ballot for the magazine's annual Broker/Dealers of the Year honors (voting in June; results...