The NASD says its core mission is ensuring market integrity and investor confidence goals few in the industry have trouble supporting. Trouble is, in its pursuit of its consumer-protection mission, the NASD often gives short shrift to the equally...
Just when it looked like all those scandals were behind us and the markets were helping mend fences with leery clients, the business has gotten yet another black eye. This time, the problem is with mutual funds more precisely how favored traders...
The one-stop financial shop is still, after all this talk, the Promised Land. Management and even reps dream about cross selling, about grabbing more business from their current clients, about creating deeper relationships the truly kind in which...
If you believe their critics, annuities are a big ripoff financial vehicles that are flogged by financial advisors merely for their high commissions. This is unfortunate, for annuities (both fixed and variable) can be useful financial planning...
The Financial Planning Association has lamented, along with many of its members, the absence of a specific lobbying organization for independent broker/dealers. The FPA is now trying to do something about it. The Atlanta-based trade group has...
50 Heavy Hitters Singled-Out in Annual Advisor Survey Represent $75 Billion in Assets Under Management New York, NY - September 15, 2003 - What does it take to be the best? PRIMEDIA's Registered Rep. magazine, the source of information for...
Results of Comprehensive Survey Surface Resiliency Across Retail, Industrial, Office and Multi-Family Properties NEW YORK – September 8, 2003 – PRIMEDIA’s National Real Estate Investor, the leading authority on trends in the...
The increased need for specialized investment consulting services is driving many of the top brokerage houses to reduce their reliance on the large, general consulting firms, a recent study shows.
