Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Training Days
By Bill MillerTo train or not to train? That is the question -- unless you happen to be a financial advisor; then you have no choice. Training...
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 ...
April 01, 2007
Integrity matters most"Don't compromise yourself. You are all you've got." - Janis Joplin Seniors don't want to deal with "any old salesman." They want to work with someone with integrity and experience, backed by a strong, reputable company that is highly rated in the
April 01, 2007
A Compliance CultureReceNt NASD actions have led to increased compliance efforts on the part of many firms. The Financial Services Institute has released "Independent Broker-Dealers: Building a...
April 01, 2007
NEWS & PRODUCTS APRIL 2007Utah's House of Representatives voted in March 167-7 to pass legislation that repeals a May 2006 Utah statute requiring B/Ds to inform the state's Division...
April 01, 2007
Watch LPL GrowLPL Financial, the big independent broker/dealer, stamped its seal even more emphatically on the independent B/D universe, and ended speculation over the future of Pacific...
April 01, 2007
Designated AdvisorCan a new set of letters after an advisor's name transform her into a wealth manager? Maybe not the letters alone, but months of study...