Registered Rep. Readers Are Awash in Numbers: Government statistics, agency reports, news releases, interest rates, and stock quotes. And so, we’ve selected a few fascinating statistics here that illuminate the markets, the world of financial...
Having had time to digest the March ruling by the U.S. Court of Appeals for the District of Columbia that overturned SEC Rule 202—the so-called “Merrill Lynch” rule—branch office managers still say they’re not sure...
A New Jersey Appellate Court ruled in favor of Smith Barney’s deferred compensation plan on June 15, reversing a lower court’s decision that said the firm’s Capital Appreciation Plan (CAP) violated New Jersey wage laws. The...
Just 15 days after it announced it was buying A.G. Edwards, Wachovia Securities has announced its retention package for A.G. Edwards reps.