Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Lawsuit Challenges Utah FTD Statute
By Staff WriterUtah state officials acknowledged knowing of a lawsuit seeking to invalidate the new state statute intended to address the issue of naked short-selling, but said Friday that the nominal defendant in the lawsuit, the director of the state's securities division of its Commerce Department, hadn't received service.
July 30, 2006
How To Get Your Broker-Dealer To Bend Over Backward For YouI run a broker-dealer, but I used to be a producer. Finding and acquiring great clients is often a difficult, cumbersome journey. That's why it ...
July 25, 2006
Benefits Brokers Gain In Worksite MarketResearchers at Eastbridge Consulting Group Inc. believe they have detected a shift in the channels used to sell employee-paid insurance products through the worksite.Momentum seems ...
July 21, 2006
Labor To Require Electronic 5500 FilingThe Employee Benefits Security Administration says employers will have to file plan returns through the Internet starting with plan years beginning on or after Jan. ...
July 17, 2006
Quote Engine Gives COBRA RatesConexis has come out with a new tool that can determine prices for health coverage continuation benefits.Conexis, Dallas, a benefits administration unit of Word & ...
July 13, 2006
Estate Planning Intrigues Broker-DealersSecurities brokers are interested in learning about ways to use insurance to help clients keep their assets.The new interest of reps at national regional broker-dealer ...
July 01, 2006
News & ProductsThe Securities and Exchange Commission announced on May 31 the institution of proceedings against 15 broker/dealer firms for engaging in violative practices in the $200...