Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Regulating Annuity Sales
By Elizabeth D. FestaThe NASD is taking steps to assess oversight of the sales of all types of annuities by the patchwork quilt of regulatory agencies overseeing the...
June 01, 2006
The Advisor ClassResearch: Some advisors still consider T. Rowe Price primarily as a direct shop. Why isn't that the case any more? Cammack: To give you a perspective...
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...