Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Excuse Me, B/Ds Do Supervise RIAs
By Staff WriterI 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 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 ...
March 30, 2005
Disclosure Presents Sales OpportunitiesUse it to develop trust and establish rapport with clientsBy Marty KennedyThe onslaught of attention to the sales process brought about by the National Association ...
March 30, 2005
Finding the Right B-D for Your Firm:Its All In The DetailsLast year, we received the most startling and disappointing news of our professional lives. With no forewarning, we were told during ...
March 29, 2005
Vertafore Shifts 4 Reps Into New UnitNU Online News Service, March 29, 2005, 3:23 p.m. ESTA Windsor, Conn., software firm has set up a national sales team to sell benefits ...
March 23, 2005
Jackson National Affiliate Promotes 3NU Online News Service, March 23, 2005, 2:23 p.m. ESTNational Planning Holdings Inc., Santa Monica, Calif., has named several new vice presidents.[@@]National Planning Holdings ...
March 17, 2005
Marsh Elects Erburu ChairmanNU Online News Service, March 17, 2005, 4:12 p.m. ESTA large New York insurance broker has announced a change to its board.[@@]The broker, Marsh ...