Brokers making cold calls could soon face more than angry voices and dial tones. Beginning in September, companies that engage in phone solicitation will be required to use federally maintained do-not-call lists, with transgressors subject to...

Registered Rep.'s redesigned Web site, RegisteredRep.com, is more than an online version of the print magazine. It is intended to be a useful resource for all investment professionals. If you're looking for the latest news on what the firms are...

SCOTTSDALE, ARIZ. In-between waiting in line for an autographed baseball from Hall-of-Famer Harmon Killebrew and learning the secrets of Navajo flute-making out here in the desert, members of the Investment Management Consultants Association...

In an effort to transform bank branches into one-stop financial shops, Wachovia sweetens offers to reps willing to work in branches.

Now that the Wall Street global settlement (the biggest fine in Wall Street’s history) is official, brokers might be inclined to heave a sigh of relief. Don’t. While the settlement will have a lasting impact on the brokerage industry...

The talent pool continues to move from Prudential to UBS PaineWebber.

Wealthy Americans are starting to regain confidence in future business and market conditions.

The clients who come with the deal are slightly less affluent than Goldman's current clientele.

A group of former Robertson Stephens brokers have filed suit in San Francisco against FleetBoston Financial, the parent company of Quick & Reilly. The brokers charge that the firm violated their employment rights when it shut down Robertson...