Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Broker/Dealer Industry in Good Shape
By James J. GreenFSI-sponsored survey shows growth in independent B/D market
August 10, 2005
Product Envy Lurks Behind The NASD Notice On EIAsSecurities broker-dealers are losing revenue in the outflow of funds to EIAsIf ever there were an industry whose very name is the antithesis of ...
August 10, 2005
New Hampshire Law Clarifies Disclosure By Broker-DealersNew Hampshire Gov. John Lynch has signed Senate Bill 111, which clarifies disclosure requirements for financial advisors that advertise via television, radio or billboards.The ...
August 08, 2005
NASD Asks EIA Sellers To Police Their RepsThe National Association of Securities Dealers has released a long-awaited discussion about when securities dealers should treat equity indexed annuities as securities rather than ...
August 04, 2005
First Fine of Its Kind: FSA Penalizes Unreported CFDsThe United Kingdom's Financial Services Authority has fined Bear Stearns International Ltd., the European operation of the global broker-dealer Bear Stearns, 40,000 pounds (US$71,000) for failure to report its transactions in a controversial financial vehicle, the contract for difference (CFD). In a CFD, first introduced in 2001, the holder of...
August 04, 2005
Associations Express Pleasure at Cox ConfirmationWASHINGTON (HedgeWorld)--The full U.S. Senate, acting on a favorable report from its banking committee, voted to confirm President George W. Bush's three nominations to the Securities and Exchange Commission Friday, thus elevating Annette Nazareth to commissioner, extending the tenure of Commissioner Roel C. Campos to 2010, and making Rep. Christopher...
August 03, 2005
Brokers Sell More VAs, Study FindsApparently shaking off the bad publicity from a series of state and federal investigations into variable annuity sales, brokers and other investment professionals increased ...
August 01, 2005
IA Readers Pick 15th Annual Broker/Dealers of the YearFive winners are chosen by biggest voter turnout ever