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Registered Rep.
August 1, 2005
John Churchill |
The Military Needs Protection Too The House of Representatives has approved a bill that would stiffen rules governing the way mutual funds, high-cost loans and other financial products are marketed to military personnel.   |
Registered Rep.
August 1, 2005
Kristen French |
Schwab to Would-Be Suitors: Drop Dead On the heels of Ameritrade's acquisition of TD Waterhouse, Charles Schwab Corp. says it isn't for sale, despite rumors to the contrary. |
Registered Rep.
August 1, 2005 |
CIMA and the Wirehouse Rep. Merrill Lynch leads the pack in terms of the number of Certified Investment Management Analyst (CIMA)-carrying reps. |
Registered Rep.
August 1, 2005 |
Comings & Goings Chris Frank, Michael Huntsman and Michael Tusing, a Los Angeles-based Banc of America team... Stephen Cutler, former SEC enforcement chief who left in May, returned to... David Kornblau has been hired as the head of regulatory affairs at... |
Registered Rep.
August 1, 2005
John Churchill |
Firms to Recruits: Are You Experienced? Across the industry, companies are upgrading training programs to better prepare reps for the growing demands of the job. |
Registered Rep.
August 1, 2005
Matt Barthel |
The Ten to Watch 2005: Learning to Live With the New Normal Lately, there is a palpable sense of acceptance in the brokerage industry that the new regulatory climate is likely to be a permanent one. Heralds of the new order: John Mack... Chris Cox... etc. |
Registered Rep.
August 1, 2005
Stan Luxenberg |
NTFs Are No Free Ride While it is possible to find moderately priced no-transaction-fee (NTF) funds, few come with rock-bottom expense ratios. This is at least partly due to the basic costs of NTF programs. |
Registered Rep.
August 1, 2005
Anne Field |
A Nic(h)e Business As the market becomes more saturated, it's important for financial advisors to offer something unique. Here's where to start. |
Registered Rep.
August 1, 2005
Janet Arrowood |
When a Partner Leaves What many partners should do -- and what any rep with an insurance license can help with -- is to fund a buy/sell agreement with life insurance. Before you can come up with the appropriate insurance solution, it is important to understand the thinking that went into the structuring of the buy/sell agreement. |
Registered Rep.
August 1, 2005
Kevin McKinley |
Helping Heirs Get Theirs Typically, financial advisors are focused on estate planning on behalf of the older generation rather than for those on the receiving end. But since younger family members are likely to live (and be clients) longer, serving as an advocate for imminent inheritors can be quite rewarding. |
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