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NEWS REGULATION AND LEGISLATION MAR 19, 2007
Opponents of SRO merger are keeping the faith

Opponents of a merger between the regulatory operations of NASD and the New York Stock Exchange haven’t given up on their efforts to stop the deal.

NEWS BROKER DEALERS MAR 19, 2007
Indies are too tempting to be ignored

Intrigued wirehouse executives who are looking for a change are beginning to check out independent-contractor broker-dealers, and what they see interests them more and more, industry executives, consultants and recruiters say.

NEWS BROKER DEALERS MAR 19, 2007
Royal indulges its appetite for acquisitions

Continuing its focus on buying small to midsize firms, Royal Alliance Associates Inc. late last month completed a deal to acquire United Securities Alliance Inc.

NEWS INDUSTRY NEWS MAR 19, 2007
Reverse-mortgage firms aim at wealthy

A wealthy retired couple in their late 70s enjoyed an annual income of $80,000 but wanted to increase their standard of living.

NEWS INDUSTRY NEWS MAR 19, 2007
Advisers cashing in on low-profile brokered deposits

SAN FRANCISCO — In need of an alternative to lackluster Treasury bond performance, financial advisers are helping a high-yield and low-profile cash product go mainstream.

RETIREMENT LIFE INSURANCE AND ANNUITIES MAR 19, 2007
Quotas tied to benefits irk advisers

Some insurers are taking away their advisers’ group health insurance and other employment benefits if proprietary-product quotas aren’t met, advisers say.

INVESTING MUTUAL FUNDS MAR 19, 2007
Funds hit by lenders’ problems

It’s unlikely that the crisis in the subprime-mortgage market is going unnoticed by some prominent mutual fund managers.

INVESTING ETFS MAR 19, 2007
SSgA retools sales force in bid to boost ETF sales

As exchange traded funds proliferate, ETF producers are getting more aggressive when it comes to pitching product.

RETIREMENT RETIREMENT PLANNING MAR 19, 2007
Financial planning shows explosive international growth

The growth of the financial planning profession overseas is in the fast lane, though there are some speed bumps, observers say.

RETIREMENT LIFE INSURANCE AND ANNUITIES MAR 19, 2007
Boomer assets draw Old Mutual to VA market

A life insurer known mainly for its fixed annuities has thrown its hat into the variable annuity ring.