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Financial Advisor June 2009 Joel P. Bruckenstein |
Stepping It Up Broker-dealers are enhancing the technology they offer to advisors. |
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? |
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. |
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. |
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 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. |
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. |
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. |
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. |
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. |
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. |
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. |
Financial Advisor January 2004 Tracey Longo |
Reversal Of Fortune Independent brokerage firms experienced a turnaround in 2003. |
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. |
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... |
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. |
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. |
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. |
Investment Advisor June 2010 Thomas D. Giachetti |
Independence's Issues There are four main challenges faced these days by independent broker/dealers. |
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 |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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?... |
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. |
Registered Rep. June 1, 2007 |
The Great Re-Sell How will registered reps re-position themselves with clients who have fee-based brokerage accounts? |
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. |
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. |
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. |
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. |
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. |
Registered Rep. June 1, 2007 |
All About the Benjamins Reps say the darndest things. |
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. |
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. |
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. |
Entrepreneur October 2003 Kimberly L. McCall |
Along for the Ride Losing touch with your reps? Regular ride-alongs can help keep the connection alive. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |
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. |