NASD Regulation today announced a disciplinary settlement in which it fined Tower Square Securities, a subsidiary of Citigroup with 700 brokers, $200,000 and ordered the firm to make $4.3 million in restitution to a Louisiana Public School System...
The NASD received 363 comments on its proposed detailed set of rules governing how brokers can correct inaccurate customer dispute information on their CRD records, the NASD told Registered Rep. Magazine. The comment period ended Tuesday after...
The World of Registered Representatives Insights and Opportunities for Brokerage and Investment Management Firms Table of Contents About This Book Executive Summary Chapter 1:Segmenting the World of Registered Representatives Chapter 2:Critical...
Can you say annuitization? Prudential Securities brokers had better get comfy with that wirehouse jargon for fee-based advisory business or get used to making less money. Pru announced that it has introduced a new payout plan that reduces its...
Today the big story on Wall Street was Merrill’s massive $2.2 billion charge against fourth-quarter earnings for layoffs. What the headlines didn’t say was that the firm was actually adding brokers to its U.S. retail unit, a...
PRIMEDIA 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 New...
New Page 1 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 &...
PRIMEDIA 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 New...
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...
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...