Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Yearning for Learning
By Patricia J. Abram"That's the last test I'll ever take!" How many of us have said just these words after finishing a required licensing exam? Unfortunately, if you...
November 01, 2006
Still Getting It DoneThey may not be making it 'the old fashioned way' with commissions on stock transactions, but in spite of reports of representatives fleeing wirehouses to...
October 29, 2006
Better Communication May Mean Better SuitabilityInsurers and broker-dealers need to communicate more to better police against unsuitable sales transactions.That was the message of speakers on a panel at the American ...
October 29, 2006
Better Communication May Mean Better SuitabilityInsurers and broker-dealers need to communicate more to better police against unsuitable sales transactions.That was the message of speakers on a panel at the American ...
October 26, 2006
Compliance Chiefs Want To Team Up Against Bad PracticesManufacturers and distributors need to communicate more to root out unsuitable sales.Speakers delivered that message here during a panel discussion at the annual meeting of ...
October 26, 2006
Compliance Chiefs Want To Team Up Against Bad PracticesManufacturers and distributors need to communicate more to root out unsuitable sales.Speakers delivered that message here during a panel discussion at the annual meeting of ...
October 01, 2006
NASD Notice 06-38Download a copy of the notice NASD sent to its members in August here.
October 01, 2006
Taking It to The HillIndependent broker/dealers and investment advisors lobbied members of Congress with a three-pronged message during the Financial Services Institute's (FSI) Public Policy Day in Washington September...