Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Firm To Charge $5 Per Head For Enrollment Tool
By Staff WriterOnlineBenefits Inc. is rolling out the Ready...Enroll Express benefits enrollment system.[@@]Brokers can pay a price that starts at $5 per employee to use the ...
June 15, 2005
NAIC Leaves Broker Fee Model UnchangedThe National Association of Insurance Commissioners has closed the door on further efforts to expand the reach of the broker compensation disclosure model amendment ...
June 09, 2005
NASD Levies Fines of $34 Million on 15 Broker/Dealers for Shelf Space ViolationsPart of effort to remove conflicts of interest
June 08, 2005
NASD Fines AIG And AXA UnitsThe National Association of Securities Dealers has imposed $34 million in fines on broker-dealers for directing customers to mutual funds that paid the broker-dealers ...
June 01, 2005
How to Ruin a Good Broker/DealerIn the spirit of Ben Stein's How to Ruin Your Financial Life (Hay House, 2004), I penned the following guide to assuring the premature demise...
June 01, 2005
Keeping UpTwenty-five years ago, Investment Advisor was founded. Fifteen years ago, IA ran its premiere directory of independent broker/dealers. Much has changed over that time, and...
May 01, 2005
Excuse Me, B/Ds Do Supervise RIAsI enjoy reading Bob Clark's articles. However, I was surprised to read something in the April issue's "The Dale Brown Gambit." That article said [referring...
April 18, 2005
Bush To Address Agent ConferenceNU Online News Service, April 18, 2005, 3:45 p.m. EDTPresident George W. Bush will address insurance agents and brokers on Thursday at the Independent ...