Results for "independent broker-dealers"

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Autonomy tops broker wish list, survey finds

March 15, 2004

Brokers and investment advisers want their firms to give them more autonomy, and they are continuing to demand better support for fee-based business, according to a recent survey. Wirehouse broker-dealers, meanwhile, are looking to attract and...

Brokers' discount dilemma

February 23, 2004

Some broker-dealers missed big when it came to giving clients break-point discounts for purchasing certain amounts of mutual funds, according to securities regulators. In fact, two subsidiaries of SWS Group Inc. in Dallas missed paying such...

Taxing situation for independents

February 16, 2004

The ``independent-contractor'' status of the 150,000 or so registered representatives who work as brokers affiliated with broker-dealers may be in jeopardy once again. Such brokers aren't employed by a broker-dealer and are commonly referred...

Regulators eyeing fee-based accounts

February 9, 2004

Fee-based advisers, the self-styled white knights of the financial services industry, face increased scrutiny from securities regulators. Such brokers and financial ad- visers have long argued that charging a client a fixed fee, often in the...

NASD tackles thorny broker issue

February 2, 2004

NASD regulators have been digging deeper and deeper into one of the brokerage industry's most sensitive issues: how a firm discloses customer complaints about its brokers. Over the past couple of years, NASD has created an exclusive group to...

Schwab's referrals drying up?

February 2, 2004

While Charles Schwab & Co. Inc.'s nationwide referral service for financial advisers is going like gangbusters, some worry that the program is rapidly running its course. Schwab's Advisor Network program handed $5.8 billion in client assets...

SEC may reignite debate over advice

February 2, 2004

The Securities and Exchange Commission, looking at an industry where the traditional line between stockbrokers and investment advisers has blurred, is considering a proposal that would apply similar standards to both. In an interview, SEC commissioner...

Mass exodus at Edward Jones

January 26, 2004

Unprecedented growth at Edward Jones over the past decade has accelerated a shift in culture that pushed as many as 1,300 brokers out the door during the first eight months of 2003, according to brokers who recently left the firm, and industry...

Top indy broker-dealers post a modest gain

January 19, 2004

The leading independent-broker-dealer firms participating in this year's InvestmentNews survey eked out, in aggregate, a modest gain in gross revenue compared with last year's. That tally includes a range of fiscal-year reporting periods, in...

News is good, but ...

January 19, 2004

The opportunities for growth in the independent-broker-dealer industry have never been more apparent for firms and brokers with the know-how and wherewithal to seize them. That said, a panel including top industry executives, among others, has...

A nasty surprise on dividends

January 12, 2004

A dividend tax rule change may catch some investors and advisers by surprise. The new rule may also put the interests of broker-dealers, stockbrokers and their clients in conflict with one another, according to accountants and analysts. If investors...

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