Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Treasury Rejects Plea For Use-It-Or-Lose-It Relief
By Arthur D. PostalThe Bush administration has declined to try to use regulatory authority to ease current restrictions on use of flexible spending account assets.[@@]Today, employers must ...
January 01, 2005
Broker/Dealer Special Report: Clearing Firms--Closer Ties, Fewer PlayersConsolidation has been a major trend in the clearing business for a few years now, and it doesn't show signs of abating. Clearing firms have...
January 01, 2005
Broker/Dealer Special Report: The Financials--The Right FitFor most broker/dealers and their representatives, 2004 was successful: new clients were added, assets under management grew, and revenues were up. That meant that in...
January 01, 2005
Broker/Dealer Special Report: Branch Managers--Helping HandWith the forecast for Santa Monica last October 15 showing pleasant skies and a high temperature near 70, the pool at the historic Fairmont Miramar...
December 29, 2004
Dealer Fines Increase: NASDNU Online News Service, Dec. 29, 2004, 3:15 p.m.The National Association of Securities Dealers collected more fines ...
December 07, 2004
Spitzer Announces Gubernatorial Run On BlogNU Online News Service, Dec. 7, 2004, 5:45 p.m. EST"I'm Running for Governor."[@@]New York Attorney General Eliot Spitzer made that declaration today in a ...
December 06, 2004
Good News for B/D Reps Who SwitchNASD reverses itself on bulk transfers of client accounts
December 06, 2004
BISA Survey Detects Slowing SalesNU Online News Service, Dec. 6, 2004, 5:12 p.m. ESTBank-based brokers are reporting a 24% drop in productivity for September.[@@]Brokers who work in banks ...