Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Three-Part Harmony
By Kate McBrideGet out your pitch pipe, and sing along as the SEC begins in the first quarter of 2007 to look at proposals for regulatory rules...
November 13, 2006
Three-Part HarmonyIf what SEC Chairman Christopher Cox and NASD Chairman and CEO Mary Schapiro each spoke of at the Securities Industry and Financial Markets Association (SIFMA) conference in Boca Raton on November 9 and 10 comes to pass, a harmonious set of rules from the NASD and NYSE, and a unified...
November 08, 2006
FPA Says Public Deserves Better ProtectionA proposed rule by the Massachusetts Security Division, which would prohibit financial services professionals from using misleading professional designations has received the public endorsement of the Financial Planning Association.
November 05, 2006
SEC Takes Issue With VA and EIA Sales MaterialsThe Securities and Exchange Commission is finding a "particular problem" with advertising and marketing materials associated with the sale of variable annuities and equity indexed ...
November 05, 2006
SEC Takes Issue With VA and EIA Sales MaterialsThe Securities and Exchange Commission is finding a "particular problem" with advertising and marketing materials associated with the sale of variable annuities and equity indexed ...
November 01, 2006
UnumProvident Settles With New York And CaliforniaA disability insurer has announced a pair of broker compensation settlement agreements.UnumProvident Corp., Chattanooga, Tenn., has negotiated one broker comp settlement with New York Attorney ...
November 01, 2006
Dow Jones Combines CRM and NewsIn the race to develop a service for advisors that combines content and client communications, Dow Jones is the latest to market with the launch...
November 01, 2006
NEWS & PRODUCTSBank of America, the second-largest U.S. commercial bank, has begun offering free online stock trades for individual investors who deposit $25,000 or more at the...