Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
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By Staff WriterGovernment appropriations are poised for growth, some analysts say, and domestic orders look promising. --- Patrick J. McCarthy Friedman, Billings, Ramsey & Co. 703-469-1236 [email protected] Areas of Coverage: Commercial Aerospace &...
March 30, 2007
Divided Appeals Court Backs FPA Appeal Of SEC RulingThe Financial Planning Association has won a battle in court against the U.S. Securities and Exchange Commission.A 3-judge panel of the U.S. Court of Appeals ...
March 30, 2007
Divided Appeals Court Backs FPA Appeal Of SEC RulingThe Financial Planning Association has won a battle in court against the U.S. Securities and Exchange Commission.A 3-judge panel of the U.S. Court of Appeals ...
March 25, 2007
What's Needed To Put Together Winning Worksite EnrollmentsSuccess in a worksite benefits enrollment isn't defined necessarily by premium written. It comes about when the employer, employees, insurance carrier and broker realize they're ...
March 20, 2007
NAPFA Likes CFP Board's Second DraftThe National Association of Personal Financial Advisors (NAPFA) has commented on CFP Board's second Exposure Draft to its Code of Ethics, calling it a step in the right direction.
March 11, 2007
NAIC And ACLI Tangle On OFC And McCarran RepealThe National Association of Insurance Commissioners implored Congress last week to consider amendments to the antitrust exemption insurers have under the McCarran-Ferguson Act and initiatives ...
March 05, 2007
Borrowing Made EasierAdvisory and broker/dealer clients who want to borrow money can now use separately managed accounts (SMAs) as collateral for lines of credit, if their advisor is a customer of Pershing. The loans are available to clients of Pershing's qualified introducing broker/dealers, and clients of independent RIAs who are customers of...
March 02, 2007
LPL in Deal to Acquire Three Pacific Life Broker/DealersLPL Financial, the big independent broker/dealer, and Pacific Life Insurance Co. ended speculation about the future of Pacific Life's B/Ds by announcing a deal under which LPL would acquire three of PacLife's five B/Ds: Mutual Service Corp., based in West Palm Beach, Florida; Associated Financial Group of Los Angeles, and...