The SIA’s Mutual Fund Reform Conference, held in New York City’s Grand Hyatt Hotel on Tuesday, had an unexpected guest in the form of NASD Chairman and CEO Bob Glauber.

The latest move to influence the SEC’s much awaited decision on the fate of the proposed “broker-dealer exemption rule” came today from the Consumer Federation of America, a nonprofit association representing 50 million Americans...

There is plenty of worry on the minds of attendees of the Security Industry Association’s Small Firms Conference this week.

Allegations against broker/dealers these days have become somewhat commonplace. Still, it’s unusual for the SEC to file charges of civil fraud against a firm for the actions of one of the firm’s registered reps, which is what the SEC...

Wirehouse brokers with hybrid books of business—those with both retail and midmarket institutional accounts—could soon be on the endangered species list, if the recent actions of Merrill and UBS are any guide.

The NASD will be increasing its use of unsolicited phone calls to clients within the course of investigations into broker/dealer activities, an official from the agency said at a conference Tuesday.

Glitches aside, former Prudential Securities advisors are concerned that the new technology doesn’t measure up to Pru’s old system.

Is a 61 percent decrease in profits from one year to the next a “reversion to the mean” or an ominous sign of cloudy skies ahead? It depends on whom you’re talking to.

If you are like most registered reps, your card probably says you are a financial advisor—and not a stockbroker. Indeed, whether you work at a large Wall Street brokerage or a small broker/dealer, the odds are you are holding yourself out as...

New York for the first day of a one-and-a-half-day workshop, called 529 Boot Camp, held by 529 guru Joe Hurley, in New York.