Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
An Independent Voice
By Kate McBrideThe Financial Services Institute (FSI) kicked off its annual conference at Disney World in Orlando, Florida, on January 29 with the group's new chair, John...
March 01, 2007
First ImpressionsYou only get one chance to make a first impression. I remember how my dad used to tell me that over and over again. And...
March 01, 2007
The Harvard of Broker-DealersIf you want to know what a broker-dealer is like," says Joseph Deitch over a cup of first-rate lobster bisque at the Harvard Club on...
March 01, 2007
News & Products, March 2007National Financial announced February 1 that it is expanding its alliance program by adding Fetter Logic Inc. to offer a suite of data management tools...
March 01, 2007
Are Brokers Entitled to Overtime Pay?It started with, "Huh -- brokers should be paid overtime?" Fast forward, Smith Barney and UBS have settled nationally (for $98 million and $89 million,...
February 26, 2007
DTCC Offers Services To Noninsurance VendorsThe Depository Trust & Clearing Corp. is offering its retirement plan services to broker-dealers that sell noninsurance benefits such as mutual funds.Under a recent filing ...
February 26, 2007
DTCC Offers Services To Noninsurance VendorsThe Depository Trust & Clearing Corp. is offering its retirement plan services to broker-dealers that sell noninsurance benefits such as mutual funds.Under a recent filing ...
February 01, 2007
Great-West Lifeco Looks South to Buy Putnam InvestmentsPutnam Investments' parent company, Marsh & McLennan, is selling the investment company to Great-West Lifeco, Inc., a Winnipeg, Manitoba-based subsidiary of Power Financial Corporation, for $3.9 billion, according to a February 1 announcement.