MagPortal.com   Clustify - document clustering
 Home  |  Newsletter  |  My Articles  |  My Account  |  Help 
Similar Articles
Financial Advisor
June 2009
Joel P. Bruckenstein
Stepping It Up Broker-dealers are enhancing the technology they offer to advisors. mark for My Articles similar articles
Registered Rep.
December 1, 2005
When to Blow What rights and/or obligations does the home office have to its representatives to maintain a support staff that is able to efficiently and correctly process the paperwork that is sent to them? Do you feel that the threat of legal action would be sufficient to finally get the attention needed? mark for My Articles similar articles
Financial Planning
May 1, 2006
Marianne Czernin
Don't Let Simple Things Trip You Up! Financial professionals must take the time to make sure they understand what the various regulatory organizations require them to do before they actually do it. They shouldn't go it alone, or they could find themselves in the same situations as these reps. mark for My Articles similar articles
Financial Planning
August 1, 2007
Marshall Eckblad
5 Questions With the SEC's Merrill Rule gone, Brian Corkery and Scott Donnelly of asset manager FundQuest help broker-dealers make fee-based accounts compliant. mark for My Articles similar articles
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. mark for My Articles similar articles
Investment Advisor
September 2005
Melanie Waddell
The Playing Field: The Image is All Important Document imaging is becoming a must-have technical solution for compliance-conscious financial advisors. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
November 1, 2006
Marianne Czernin
Compliance Tips Registered reps have lots of eyes watching them. Supervisors, compliance personnel, sales directors, and operations all scrutinize reps' activities. But these aren't the only people interested in reps' movements. mark for My Articles similar articles
Investment Advisor
August 2010
Thomas D. Giachetti
The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements. mark for My Articles similar articles
Financial Advisor
February 2006
Joel Bruckenstein
Rep Tech A broker-dealer's technology can play a key role in a rep's success and satisfaction. Perhaps independent reps should regularly compare the technology that their B-D offers against what leaders in the field have to offer. mark for My Articles similar articles
Registered Rep.
October 1, 2004
John Churchill
These Go To Eleven It's no secret that sales assistants are the administrative linchpins of many a brokerage office, but never before has their role been so crucial to the smooth operation of their practices. The reason? Compliance-related paperwork. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Advisor
January 2004
Tracey Longo
Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003. mark for My Articles similar articles
Investment Advisor
June 1, 2011
John Sullivan
2011 Broker-Dealer Presidents' Poll--Slideshow Broker-dealer recruiting expert Jon Henschen talks about the state of the industry, what it means for reps and what it means for clients. mark for My Articles similar articles
Bank Technology News
November 2001
David Rountree
Securities Industry Grapples with STP Challenges To completely automate the trade process, U.S. firms will have to spend billions to overcome a bevy of complex obstacles... mark for My Articles similar articles
Registered Rep.
September 1, 2004
Anne Field
The Weight of Words It's a paradox confronting brokers all over the country: In a business climate that calls for ever-increasing advisor-client intimacy, financial professionals are measuring their words more carefully than ever. mark for My Articles similar articles
Financial Planning
July 1, 2006
David J. Drucker
Fee-Based Confusion Cambridge, Commonwealth and Securities America aren't your father's broker-dealers. Although they count reps of all compensation stripes within their ranks, they're clearly leading the new generation to a more professional business model. mark for My Articles similar articles
Registered Rep.
December 12, 2006
Halah Touryalai
Smith Barney Pay Package: Perks Balance Cuts? This week, Smith Barney will become the first firm to make a change to its payout grid as a result of the securities industry's recent battle over broker overtime pay and so-called chargebacks. mark for My Articles similar articles
Investment Advisor
June 2010
Thomas D. Giachetti
Independence's Issues There are four main challenges faced these days by independent broker/dealers. mark for My Articles similar articles
Investment Advisor
May 1, 2011
Janet Levaux
Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm mark for My Articles similar articles
Registered Rep.
September 27, 2004
David A. Gaffen
Wachovia Securities in Technological Purgatory The Prudential/Wachovia Securities systems integration continues to frustrate the firms' advisors, although the most serious problems have been cleared up. mark for My Articles similar articles
Financial Planning
May 1, 2007
Andy Effron
Practice Tips Finding time to recruit reps and grow your practice can be challenging. But if you're willing to supervise, perform audits and have a Series 24, you can potentially act as an Office of Supervisory Jurisdiction and collect overrides from reps. mark for My Articles similar articles
Wall Street & Technology
September 21, 2004
Paul Allen
What's Old Is New Again Straight-through processing is again in vogue, but this time it's being driven by internal cost pressures. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
January 12, 2006
John Churchill
UBS Dinged $50 Million for Market Timing New York Stock Exchange Regulation, along with the New Jersey Bureau of Securities, today announced that UBS Financial Services was fined $49.5 million for failure to supervise the deceptive market timing activities of its brokers. mark for My Articles similar articles
Registered Rep.
October 1, 2005
Matt Barthel
Insurance and the Generation Gap Reps historically have been reluctant to sell life insurance because of the steep learning curve associated with the products, and there is evidence that many still are hesitant to put forth the effort necessary to grasp the products' nuances. mark for My Articles similar articles
Financial Planning
June 1, 2007
Elizabeth O'Brien
FP50: Small Wonders Smaller broker-dealers vow to retain their personalized service as they pursue ambitious goals. mark for My Articles similar articles
Financial Planning
May 1, 2010
Paul Menchaca
The Road Ahead Securities America's executive team seems to view its stellar growth with a mix of pride, and a small degree of hesitation. mark for My Articles similar articles
On Wall Street
July 1, 2010
Alan J. Foxman
Dueling Investigators Advisor Q&A: Why must agencies duplicate investigatory efforts?... Should I worry about reps picking up bad habits from old firms?... mark for My Articles similar articles
Investment Advisor
April 2007
Kara P. Stapleton
News & Products Mary Schapiro, NASD Chairman and CEO, announced that the regulatory consolidation between NASD and NYSE Member Regulation is on track... Securities America, Inc. launched a new Assistant of the Year program... etc. mark for My Articles similar articles
Registered Rep.
June 1, 2007
The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts? mark for My Articles similar articles
Wall Street & Technology
August 22, 2006
Corporate Actions Trip Up STP According to TowerGroup Research An integral part of today's capital markets, corporate actions processing remains the largest stumbling block to the financial services industry's attempt at realizing straight-through processing, according to new research. mark for My Articles similar articles
Insurance & Technology
January 15, 2008
Nathan Conz
Annuities Carriers Cooperate On NAVA STP Initiative To Improve Service Levels Under the National Association for Variable Annuities straight-through processing initiative, carriers are looking to improve service levels and processing times, which could eventually change the way they view competitive differentiation. mark for My Articles similar articles
Registered Rep.
December 1, 2004
David A. Gaffen
Meet the New Boss, Different From the Old Boss November's news that Bob Mulholland was leaving Merrill Lynch wasn't entirely a surprise. He had been co-head of the 14,000-strong retail brokerage unit, but Merrill insiders figured all along that only one boss would prevail. mark for My Articles similar articles
Financial Advisor
August 2005
David J. Drucker
An Uncommon Practice Management Guru What's so special about Joni Youngwirth? How about the career history and specialized training that make her the perfect advisor to reps, not to mention the passion she brings to her position, vice president of practice management. mark for My Articles similar articles
Registered Rep.
May 1, 2005
David A. Geracioti
A Mere Hurdle to Clear When the SEC ruled in April to re-propose the so-called Merrill Exemption, permitting Series 7 licensees to continue to call themselves "financial advisors," thousands of reps --- and their firms --- heaved a sigh of relief. mark for My Articles similar articles
Registered Rep.
June 1, 2007
All About the Benjamins Reps say the darndest things. mark for My Articles similar articles
Registered Rep.
December 1, 2005
Kevin Burke
Edward Jones: Whistle While You Work According to survey results, financial advisors working at this financial firm seem to be living a charmed life. Here's why. mark for My Articles similar articles
Entrepreneur
April 2006
Kimberly L. McCall
Break It Up If a customer calls to grouse about one of your sales reps, what should you do? Here are some ways to finesse this sticky situation. mark for My Articles similar articles
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. mark for My Articles similar articles
Entrepreneur
October 2003
Kimberly L. McCall
Along for the Ride Losing touch with your reps? Regular ride-alongs can help keep the connection alive. mark for My Articles similar articles
Registered Rep.
August 10, 2004
David A. Gaffen
Fleeing Brokers Can Take Some Client Info Three of the nation's largest brokerage firms have agreed to make it easier for registered reps to take clients with them when they change firms, eliminating a lot of the cloak-and-dagger antics that brokers often suffer when making a move. mark for My Articles similar articles
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. mark for My Articles similar articles
Registered Rep.
February 1, 2006
Kristen French
Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so. mark for My Articles similar articles
Financial Planning
June 1, 2005
Black & Liptow
FP50: The Rising Tide Among the 50 largest independent financial advisory firms--this year's FP50--revenues and assets under management were up, and losses were down. The leaders are holding their top slots, while many newbies are growing at a dramatic clip. mark for My Articles similar articles
Registered Rep.
January 1, 2003
Ross Tucker
Let's See Those Credentials For the thousands of reps who have found themselves unemployed since industry employment peaked in 2000, the matter of retaining one's license to sell securities is a potential issue. mark for My Articles similar articles
Pharmaceutical Executive
May 1, 2005
Steven Tarnoff
How to Keep Out of Regulatory Quicksand Pharma sales teams may soon need law degrees just to keep up with the changes in federal and state mandates. mark for My Articles similar articles
Financial Planning
April 1, 2005
Steven K. McGinnis
Tin Shields As investor lawsuits mount, errors and omissions insurance has become harder to get--and easier to lose. mark for My Articles similar articles
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. mark for My Articles similar articles
Financial Planning
June 1, 2007
Marshall Eckblad
FP50: Behind the Numbers Revenues among the top 50 broker-dealers soared, costs fell and reps took home more money than ever. But the biggest winners in this year's survey were fee-based products. mark for My Articles similar articles