Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
NASD Announces $9.2 Million In Disclosure Fines
By Staff WriterNU Online News Service, Nov. 30, 2004, 6:59 p.m. ESTSecurities regulators want securities firms to do a better job of reporting problems with brokers.[@@]NASD, ...
November 23, 2004
NCOIL Proposes Broker Comp Model LegislationNCOIL Proposes Broker Comp Model LegislationByThe National Conference of Insurance Legislators has proposed model legislation aimed at curbing abuses in broker compensation that have been ...
November 22, 2004
New York Broker To Buy Worksite MarketerNU Online News Service, Nov. 22, 2004, 5:43 p.m. EST Duck Key, Fla.USI Holdings Corp., Briarcliff Manor, N.Y., has acquired Benefit Partners of America ...
November 22, 2004
Lawmakers Consider Broker Suitability RequirementThe National Conference of Insurance Legislators is weighing in on the broker compensation issue.[@@]The Albany, N.Y., group has proposed model legislation that responds to ...
November 17, 2004
Academic Pans Litigious Approach To Broker ReformA risk management professor is questioning whether a barrage of regulator subpoenas and lawsuits is the right way to change commercial insurance broker compensation ...
November 17, 2004
Garamendi Defends Proposal For Complete DisclosureGaramendi Defends Proposal For Complete DisclosureWashingtonCalifornia Insurance Commissioner John Garamendi defended his proposed regulation for full and complete disclosure of payments made by insurers to ...
November 16, 2004
Garamendi: Require Full Producer Comp DisclosureA top insurance regulator appeared on Capitol Hill today to call for full reporting of all insurer payments to agents and brokers.[@@]California Insurance Commissioner ...
November 16, 2004
StanCorp Relaxes Contingent Commission SuspensionNU Online News Service, Nov. 16, 2005, 6:21 p.m. ESTA major West Coast insurer says it will be easing up on a recent change ...