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New Page 3 PRIMEDIA’S REGISTERED REP EDITOR TELLS STOCKBROKERS THESE ARE “THE BEST OF TIMES?” Led by Editorial Veteran, David Geracioti, January 2002 Issue Declares That the Broker Is Back and Has Won the Battle on Wall Street...
For Clients: Anticipating the Worst is One of The Best Ways to Secure Loved Ones' Futures NEW YORK -- "Financial planning is not just for the elderly, the ailing or the rich," says Bob Lawrence, Partner and Chairman of the Private Client...
Elimination of 30-yr Treasury Bond Increases Need for Fixed-Income Alternatives -- CNBC's Street Signs recently welcomed Leo Wells, president of Wells Real Estate Funds, to the program to share his "street smarts" on the real estate market after...
Forecast 2002: Estate Planning After EGTRRA and Sept. 11 Two Affairs to Remember By Roy M. Adams Partner, Kirkland & EllisNew York, New York As I sit down to write a column predicting what will happen in 2002 and beyond in our industry, two dates...
In a few days you will receive the January issue of Registered Representative. Make that Registered Rep. Thats right. We have a new name and a new look for the New Year. Weve completely redesigned the magazine, with a simple, elegant design and...
Salomon Smith Barney brokers who produce less than $250,000 and have been in the business for five years or more will receive a lower payout of 1%, according to brokers familiar with the compensation change. The 1% hit is viewed by brokers as a &...
After receiving hundreds of complaints from brokers, UBS PaineWebber switched gears and decided it will not penalize reps whose clients quickly sell shares in new IPOs, a practice known as "flipping." The firm issued an e-mail to brokers on...
The NASD’s new ruling on client account transfers “is a clear victory for brokers and customers,” securities attorney Jim Eccleston said today. The NASD announced Wednesday that it will bar member brokerage firms from blocking...
The hotly-debated and controversial question of “who owns the client” appears to have been answered by the NASD and the SEC: it’s the broker, not the firm. The NASD announced today it will bar member firms from blocking customers...
For years, delays in client account transfers have been a controversial issue. But the NASD has put an end to the debate, announcing today that it has adopted a new rule interpretation prohibiting "any NASD member firm from taking action that...
