Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
June 01, 2007
Building CollaborationReps of Securities America Inc. are thrilled with the company's new initiative, a knowledge-sharing and peer support program called AskSamX, which makes use of the...
June 01, 2007
The New RecruiterOne of the toughest jobs in the financial services industry has to be that of the financial advisor recruiter. Typically, the FA recruiter is a...
May 31, 2007
Wachovia Picks Up A. G. EdwardsAnyone who doubted that a big bank could challenge the national wirehouse broker/dealers has to notice that Wachovia's deal to acquire A. G. Edwards catapults...
May 20, 2007
Standards Are Important, But Are They Critical?Ever since insurers started using computers to do business, there has been a debate over the need for data standards, driven by the notion that ...
May 20, 2007
Standards Are Important, But Are They Critical?Ever since insurers started using computers to do business, there has been a debate over the need for data standards, driven by the notion that ...
May 16, 2007
FPA Applauds SEC Decision Not to AppealThe Financial Planning Association said it is pleased that the SEC will not appeal the court ruling exempting brokers from being subject to regulation as investment advisors in fee-based brokerage accounts
May 14, 2007
SEC Won't Appeal Court RulingThe Securities and Exchange Commission has decided not to appeal the March 30 ruling by the U.S. Court of Appeals for the D.C. Circuit, which exempted brokers from being subject to regulation as investment advisors in fee-based brokerage accounts, on the basis that the SEC had exceeded its authority under...
May 10, 2007
SmartOffice Delivers Integration with Laser App and WinFlex WebE-Z Data, Inc., Pasadena, Calif., has announced the availability of integrations between SmartOffice, the company's Web-based practice and agency management solution, and two industry-standard applications: Laser App and WinFlex Web.
May 09, 2007
NASD Imposes Military Sales FinesThe National Association of Securities Dealers today fined 2 broker-dealers $400,000 in connection with allegations that they gave misleading investment plan sales literature to U.S. ...
May 08, 2007
NASD Imposes Military Sales FinesThe National Association of Securities Dealers today fined 2 broker-dealers $400,000 in connection with allegations that they gave misleading investment plan sales literature to U.S. ...