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Registered Rep.
November 18, 2002
Will Leitch |
Times For Brokerages Still Tough, Analysts Say Business has been so bad at brokerages for so long that one might ask when will this grinding bear market ever end. Although it is too early to tell, there have been some good signs buried in the rubble.   |
OCC Bulletin
November 14, 2002 |
Assessment of Fees The final rule amends 12 CFR 8.2(a), which sets forth the formula for the semiannual assessment that the OCC charges each national bank. |
Registered Rep.
November 12, 2002
Rick Weinberg |
UBS PaineWebber to Hire 500 Brokers UBS PaineWebber Chairman Joseph Grano announced that the firm is going to hire up to 500 brokers during the next year. |
Registered Rep.
November 12, 2002
Rick Weinberg |
Wealth Management R Us! The Gnomes of Zurich to Drop Kick the PaineWebber Name The century-old PaineWebber name is going to be dropped from UBS AG's brokerage and investment-banking businesses in 2003, the company says. The new name is to be, UBS Wealth Management USA. |
Registered Rep.
November 1, 2002
Rick Weinberg |
All in the Family Cases of brokers stealing from their clients are not unheard of. But, according to the Massachusetts Securities Division, a UBS PaineWebber broker gave the old crime of embezzlement a new twist. |
Registered Rep.
November 1, 2002
David A. Gaffen |
Auditing Your Brokers When it comes to compliance these days, the message from regulators is clear: Attention must be paid. |
Registered Rep.
November 1, 2002
David A. Geracioti |
For Retaining Clients, a Client Retainer With many brokers at full-service firms gradually moving to asset-based fees, some investment advisers, in an effort to meet client needs and compete with larger firms, have been experimenting with flat annual retainers. |
Registered Rep.
November 1, 2002
Alex McGrath |
Map to the Rich Looking for prospects in all the wrong places? Lord Abbett offers a Web-based practice management system that lets brokers tap into a database of useful information on high-net-wealth individuals |
Registered Rep.
November 1, 2002
Ross Tucker |
NASD Wants to OK Use of Predictive Tools by Brokers NASD member firms want to revise the association's Rule 2210 to make sure that they, too, can use these tools, including Monte Carlo simulations, to help clients make investment decisions. |
Registered Rep.
November 1, 2002
David A. Gaffen |
Requiem for the $250K Broker Until recently, brokers were immune to the industry's downsizing, which has included a decimation of the ranks of investment bankers and the elimination of thousands of support positions. Brokers, it was assumed, covered their own costs by generating commissions and fees. Not anymore. |
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