Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
NAIC Leaves Broker Fee Model Unchanged
By Steve TuckeyThe National Association of Insurance Commissioners has closed the door on further efforts to expand the reach of the broker compensation disclosure model amendment ...
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 ...
April 12, 2005
Benefits Firm Puts Out Call For Survey ParticipantsNU Online News Service, April 12, 2005, 4:02 p.m. EDTA Brentwood, Tenn., benefits broker hopes to persuade at least 12,000 employers to join a ...
April 08, 2005
MSCI Index Up in FebruaryWASHINGTON (HedgeWorld.com) - The division of clearing and intermediary oversight of the Commodity Futures Trading Commission issued a no-action letter that will permit futures commission merchants and introducing brokers to rely on the customer identification procedures of certain commodity trading advisers with respect to shared customers. The letter is in...
April 06, 2005
Why Is The Industry So Blas About Big Database Breach?Why Is The Industry So Blas? About Big Database Breach?by Ara C. TremblyOne thing I discovered about the insurance industry when I migrated here some ...