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Anat Kendall: Hello, everyone. On behalf of The New York Times and Registered Rep. magazine, I’d like to welcome all of our participants to The New York Times Job Market Roundtable. Our purpose here today is to have a robust discussion of &...
The Securities and Exchange Commission is cracking down on investment seminars aimed at taking advantage of seniors, SEC Chairman Christopher Cox announced Friday at the annual consumer assembly of the Consumer Federation of America.
Morgan Stanley reported bad news on first quarter retail earnings today. Both pre-tax income and margins declined steeply for its brokerage business, but in a conference call this morning chief financial officer David Sidwell expressed optimism...
Congress is moving forward on adding an amendment to the three-decade-old Employee Retirement Income Security Act (ERISA) that could have a significant impact on the way registered representatives do business.
A federal judge barred for life a former Prudential Securities broker for failing to respond to an order instituting proceedings (OIP) issued by the SEC over fraud charges.
In his first step as head of retail brokerage at Morgan Stanley, James Gorman has streamlined the firm’s regional office structure -- reducing regional offices to four from eight and cutting out one layer of management. To head up the new...