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Registered Rep.
December 1, 2006
Kevin Burke |
SEC Chairman Endorses Single SRO Now that SEC Chairman Christopher Cox has made creating a single SRO for the brokerage industry a top priority, why are some suddenly wondering if it's a good thing after all?   |
Registered Rep.
December 1, 2006 |
Comings & Goings Mark Sutton, chairman and CEO of U.S. operations for UBS, has announced his resignation... Stephen Johnson has joined Jackson National Life Insurance Company as the assistant vice president of national accounts... etc. |
Registered Rep.
December 1, 2006
Kristen French |
60 Seconds with Deborah Doyle McWhinney A short interview about the rivalry between the registered investment advisor (RIA) firms that Schwab caters to and Wall Street wirehouses. |
Registered Rep.
December 1, 2006
John Churchill |
Blotter Shelf Space No No... Broker Gets 14 Years... |
Registered Rep.
December 1, 2006
Halah Touryalai |
Out with a Bang Eliot Spitzer may have less than a month left as New York State's attorney general, but the governor elect says there two new Wall Street cases he's taking on before year's end. |
Registered Rep.
December 1, 2006
Kristen French |
Morgan's New Comp Plan Morgan Stanley retail head James Gorman announced the rollout of a new compensation program for 2007 -- one that will increase the firm's spending on compensation by millions of dollars. But the plan will also eliminate any compensation to reps on accounts below $50,000. |
Registered Rep.
December 1, 2006
Kristen French |
Cold Call: Joe Biondo Sr. When did you know you wanted to become an investment advisor?... One book that has done the most for your business?... etc. |
Registered Rep.
December 1, 2006
Kevin Burke |
529 Sales Caught in Sweep The NASD fined Chase Investment Services and MetLife Securities for failing to establish internal controls to supervise the sale of 529 college savings plans. |
Registered Rep.
December 1, 2006
Stan Luxenberg |
Payback Time Still As punishment for the market-timing scandals, the SEC and other enforcers collected fines from 20 fund companies. Four fund companies have filed plans with the SEC to distribute the cash to shareholders. But so far the money sits waiting until the plans are approved. |
Registered Rep.
December 1, 2006 |
Briefs Brokerage Small Business Accounts Inadequate... 401(k) Default Options: Employers Call for Help... Who Loves You?... HSA Market Explodes... |
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