Bank & Financial

Magazine articles on banks, brokerages, and credit card companies.

Old Articles: <Older 2501-2510 Newer>

Registered Rep. January 1, 2005 Will Leitch	529 Plans in the Crosshairs To virtually no one's surprise, regulators have begun scrutinizing how 529 plans are peddled.
Registered Rep. January 1, 2005	Land of Confusion Assets in separately managed accounts are growing steadily again after hitting a rough patch between 2001 and 2003, but many investors still don't understand what it is they do.
Registered Rep. January 1, 2005 David A. Gaffen	Wachovia Goes Halvesies Keep it simple. That's the idea behind Wachovia Securities new grid, one that offers a round 50 percent payout to brokers, once they pass a $9,000 production threshold.
Registered Rep. January 1, 2005 Namita Devidayal	Here Come the Validators A study showed that between 1999 and 2003, the number of "validators," people who do their own financial research but also seek professional advice, has risen, while the number of "soloists" and "delegators" has dropped.
Registered Rep. January 1, 2005 David A. Geracioti	A Whole New Ball Game Financial advisors who grew accustomed to the little, and sometimes not so little, treats that mutual fund wholesalers lavish on them may have noticed a certain lack of swag lately.
Registered Rep. January 1, 2005 Will Leitch	Trinkets and Trash As almost any rep knows, wholesalers and fund families love to send them tchotchkes branded with their company name. Are all these knickknacks effective at building name recognition? Are they worth the cost?
Registered Rep. January 1, 2005 David Gaffen	The Broker and Brand X Syndrome The commoditization of the brokerage industry might be easier for individual reps to deal with, were they not under such intense pressure in virtually every other aspect of their professional lives.
Registered Rep. January 1, 2005 John Churchill	Nothing Succeeds Like Succession Whatever type of succession plan you create, you're really creating a growth plan, providing for continuity of the business and for clients. Advisors need to see it that way, instead of an end or an exit.
Registered Rep. January 1, 2005 Namita Devidayal	The Not-So-Quiet Company In grammatical terms, a word with the letters ING at the end is a gerund, a verb masquerading as a noun. Fitting, then, that the Dutch financial services firm that goes by those letters would have a mysterious side.
Registered Rep. January 1, 2005 Stan Luxenberg	Grading Governance The mutual fund scandals have put advisors in a tough position: Recommending a fund that ends up in the headlines can deal a serious blow to an advisor's reputation and can even mean lost clients.
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