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Registered Rep.
August 1, 2005
John Churchill |
Brokers Called Up for Active Duty Face Licensing Headaches, Book-Poaching Colleagues For registered rep reservists serving in one of the nation's armed forces, coming home and returning to the job is soon to get a lot easier. Of course, the NASD says there is nothing it can do to prevent colleagues from stealing a GI advisor's book.   |
Registered Rep.
April 28, 2005
John Churchill |
NASD Sends Older Reps Back to the Classroom All registered reps are required to complete the regulatory sections of the NASD's continuing education curriculum. According to the Securities Industry/Regulatory Council on Continuing Education, there are currently 109,000 exempted reps that will now have to take the test. |
Investment Advisor
September 2008
James J. Green |
You're the Tops In a comprehensive face-to-face discussion, the leaders of the Broker/Dealers of the Year explain their firms' unique charisma and how they plan to remain at the summit of their professions. |
The Motley Fool
July 18, 2007
Selena Maranjian |
Check Out Your Broker Finding the perfect broker to whom you would entrust your hard-earned money is difficult. "BrokerCheck," a new online tool from NASD, makes it easier to weed out the unscrupulous ones. |
U.S. Banker
August 2006
Lee Conrad |
Banks Refocus Staff and Mutual Funds Sales Surge Banks are making a fundamental change in the way they sell mutual funds by streamlining the process and unleashing a bigger, less expensive, sales force. |
Registered Rep.
March 2, 2006
John Churchill |
NASD Promotes Its Online Education Program Called the E-learning Exchange, the NASD created the online education tool for reps and firms last May in order to help securities firms head off compliance and regulatory problems before they start. |
Investment Advisor
September 2009 |
Broker/Dealer of the Year, Division II Quick company stats of The Investment Center. |
National Real Estate Investor
October 15, 2003
Parke Chapman |
NASD Fines Wells REIT Sponsor For Rewarding Brokers Wells Investment Services, sponsor of Wells Real Estate Investment Trust (REIT), has been sanctioned by the National Association of Securities Dealers (NASD) for rewarding broker/dealer reps who sell shares of the REIT with non-cash gifts. |
Registered Rep.
June 1, 2004 |
10 Years Ago in Registered Rep NASD warnings, again. |
Investment Advisor
September 2006 |
Woodbury Financial services Woodbury Financial is a big firm, with nearly 2,000 producing reps, and a big corporate parent in the form of The Hartford. But a simple comment on a Broker/Dealer of the Year ballot from one of Woodbury's reps was instructive on the firm's personal appeal to reps. |
Investment Advisor
October 2006
Kathleen M. McBride |
What Matters Most Results from a Broker/Dealer of the Year poll offer valuable tools for b/ds to see how they are doing, on average, among reps, and where there's room for improvement. |
Registered Rep.
September 1, 2004
Will Leitch |
For Advisors, 2003 Was a Better Year The fortunes of advisors took a turn for the better in 2003, according to the annual report from the Securities Industry Association. |
Investment Advisor
May 2006
Ryan G. Murphy |
B/D Briefing: News & Products Fines, Complaints, Mergers: The NASD fined American General Securities Inc... NASD announced the promotion of James Shorris... Raymond James Financial selected PlanningStation... etc. |
Registered Rep.
April 1, 2008 |
Meet the Indies Choosing an independent broker/dealer to join isn't easy. We speak with five heads of independent broker/dealers about their businesses, an why you should join them. |
Investment Advisor
September 2007
Kathleen M. McBride |
Around the Table The leaders of the 2007 Broker/Dealers of the Year speak frankly about their challenges and opportunities. |
Investment Advisor
July 2006
Kathleen M. McBride |
B/d Briefing: Two Faces of Wall Street Few financial professionals expect to work a 40-hour week on Wall Street. So it was surprising to see the extent of rep participation in class-action lawsuits over broker overtime, and the astounding settlements that have been awarded. |
Investment Advisor
September 2008
Melanie Waddell |
Whither the Independent B/D? Securities America's acquisition of Brecek & Young is yet another sign of dwindling independent broker/dealers. |
Registered Rep.
March 1, 2008 |
How to Dance the Wall Street Shuffle There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition. |
Registered Rep.
July 1, 2004
Bill Singer |
Alone In a Crowd Registered reps cannot count on their firms or the regulators to look out for them. Indeed, there's an argument to be made that these institutions cannot be relied upon to use common sense. |
Registered Rep.
September 28, 2004
David A. Gaffen |
The NASD Has Clients' Number The organization will be increasing its use of unsolicited phone calls to clients within the course of investigations into broker/dealer activities -- including calls to clients who have not lodged complaints, which has angered executives. |
Registered Rep.
June 1, 2006
Bill Singer |
Working Conflict When considering taking an outside job, registered reps must adhere to NASD rule 3030, Outside Business Activities of an Associated Person. Here's a recap of the guidelines. |
Financial Advisor
June 2006
Tracey Longo |
Is Any Stone Unturned? Is the NASD's regulatory clampdown over? Major changes are in place at the sales force level. |
Registered Rep.
September 18, 2007 |
Cease and Desist Order Looms for NEXT Financial Group The Securities Exchange Commission issued an Order Instituting Cease-and-Desist Proceedings against the independent broker/dealer late last month. |
Investment Advisor
April 2007
James J. Green |
Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers. |
Registered Rep.
August 29, 2014
Diana Britton |
One Strike, You're Out When it comes to the world of independent broker/dealers, the Financial Industry Regulatory Authority is cracking down. Its stated 2014 priority is to focus its regulatory firepower on "high-risk" brokers. |
Registered Rep.
January 1, 2007 |
Insuring Your Future with Insurance? Insurance is an important component of wealth management, and too few reps have made the effort to fit it into client portfolios. Insurance is something you need to know how to use. |
Registered Rep.
January 1, 2005
David A. Gaffen |
Third Time Is a Harm A NASD proposal first announced in 2003 requires that reps with three or more formal complaints against them receive extra supervision from their firms. Most major broker/dealers are already operating as if the rule were in place. |
The Motley Fool
March 21, 2007
S.J. Caplan |
Check Out Your Broker A redesigned website tells you what you need to know before you invest. |
Investment Advisor
June 2008
Philip Palaveev |
The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive. |
The Motley Fool
May 20, 2004
Tim Beyers |
American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest? |
Registered Rep.
August 29, 2006
Kristen French |
Pru Agrees to $600 Million Market-Timing Settlement Prudential Equity Group admitted to criminal wrongdoing in connection with the market-timing practices of a number of its brokers between 1999 and June, 2003. |
Registered Rep.
May 17, 2006
John Churchill |
Monster Arbitration Ruling Against Ameriprise Unit An NASD Arbitration panel awarded 32 retired Exxon employees a total of $22 million in damages for losses suffered when their broker put most of their savings in variable annuities and B-share mutual funds. |
Registered Rep.
November 1, 2005 |
Supplemental Inquiry Q: Is there any way my employer can find out if I receive W-2 income from other sources... Q: Recently at a social event, a co-worker's client told me another local broker (who is a competitor) had made some disparaging remarks about my co-worker... etc. |
Investment Advisor
September 2009
James J. Green |
How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating. |
Investment Advisor
March 2009
James J. Green |
Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness. |
Registered Rep.
November 1, 2002
David A. Gaffen |
Auditing Your Brokers When it comes to compliance these days, the message from regulators is clear: Attention must be paid. |
Registered Rep.
June 1, 2005
Karen Donovan |
No More Slap on the Wrist Regulators are getting tough and creative on registered reps because they suspect that fines aren't a strong enough deterrent to stop illegal behavior. |
Registered Rep.
September 3, 2003
David Gaffen |
NASD: Brokers With Complaints Need A Watchful Eye Heed the red flags. This is the thrust of a new NASD proposal that would require brokerage houses to devote extra supervision to reps with extensive numbers of complaints or regulatory actions against them. |
Investment Advisor
September 2007
James J. Green |
Leading the Way The leaders of the 2007 Broker/Dealers of the Year reflect their reps: optimistic, opinionated professionals whose business savvy is growing in a challenging environment |
Investment Advisor
June 2006
Green & Murphy |
Recruiting Wars: Freedom and Culture The underlying dilemma of independent broker/dealers and their reps -- interdependence versus independence -- is one of the main dynamics in play when it comes to recruiting reps. |
Registered Rep.
January 1, 2007
Kevin Burke |
The Glitch A class action law suit has been filed that seeks at least $5 million for persons who took the Series 7 between Oct. 1, 2004 and Dec. 20, 2005 and received failing grades in error. |
Registered Rep.
September 1, 2005
John Churchill |
The Battle at Home In today's competitive environment, it doesn't take long for a soldier/rep's book to fall prey to poachers. |
Registered Rep.
April 28, 2003
David A. Gaffen |
Wachovia's Banking Unit Has New Deal for Reps Wachovia Securities, which offers reps several different affiliation levels, has predictably come up with a recruiting deal that has several different plans reps can choose from. This particular deal is only for those reps applying to work in the bank branches. |
Investment Advisor
September 2008
Eric Schwartz |
B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future. |
Registered Rep.
February 2, 2015
Diana Britton |
Industry Will Lose 300 More B/Ds By 2016 Though the closure rate of FINRA-registered broker/dealers is slowing down, the number of firms is expected to decline from 4,154 at the end of last year to 3,800 by the end of 2016. |
Registered Rep.
July 30, 2003
Will Leitch |
Securities Industry Registers Slight Employment Uptick Securities firms have begun adding employees again, according to statistics from the Securities Industry Association and the Labor Dept. |
Financial Planning
June 1, 2007
Marshall Eckblad |
4 Questions Mary Schapiro is chairman and CEO of the NASD, which is set to merge later this year with the New York Stock Exchange. Here, she spoke about the new organization that she has been appointed to lead. |
Registered Rep.
January 12, 2006
John Churchill |
Schapiro in for Glauber at NASD 2007 The NASD Board of Governors announced today that Mary Schapiro, currently the self-regulator's head of Regulatory Policy and Oversight, will become the NASD's chairwoman when the term of its current chief ends in December 2006. |
Registered Rep.
February 2, 2006
Kristen French |
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. |
Investment Advisor
June 2010
Thomas D. Giachetti |
Independence's Issues There are four main challenges faced these days by independent broker/dealers. |
