Merrill Lynch said yesterday its push toward fee business helped steady its U.S. retail business, which actually improved during the second quarter due to expense cuts. The firm’s second-quarter earnings, released yesterday, showed a 19%...
You’ve just received your Series 7 ... and you’re armed with guns and forced to battle it out by killing your competitors on TV. Huh? Obviously, this is not what Series 7 reps are supposed to do. Well, at discount firms, maybe ... But...
Merrill Lynch’s telephone support centers for smaller investors have been called the best in the financial services business by Call Center Magazine, a publication for call center managers. In the June 2001 issue, the magazine says Merrill...
International standards for financial planning are in the works. Four working groups established by an International Organization for Standardization (ISO) committee to develop global planning standards are submitting their proposals. ISO, a...
International standards for financial planning are in the works. Four working groups established by an International Organization for Standardization (ISO) committee to develop global planning standards are submitting their proposals. ISO, a...
"The best place to succeed is where you are with what you have."--Charles M. Schwab "Wherever you see a successful business, someone once made a courageous decision." -- Peter Drucker
Commentary: RR Magazine's Editor in Chief Dan Jamieson's Comment Letter to the NASD June 22, 2001 Barbara Z. Sweeney Office of the Corporate Secretary NASD Regulation Inc. 1735 K Street, NW Washington, DC 20006-1500 Comment on Proposed...
After one more in a long string of delays, Morgan Stanley on May 17th finally gave its brokers the ability to create personal home pages, according to a firm spokesperson. For a look at one of the first Morgan Stanley broker home pages (which are...
The General Accounting Office (GAO) released a report June 22 that was critical of the Securities Investor Protection Corp. (SIPC), as well as the SEC’s role in overseeing the SIPC. The GAO is Congress’ investigative arm, and its SIPC...
