Bank & Financial

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

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Registered Rep. January 1, 2007 Bill Singer	I Kid You Not NASD enforcement actions can flatten a registered rep's life savings and bury his career. That's no laughing matter. Still, there are some cases in which the circumstances are so zany that even the prickliest observer can't help but snigger.
Registered Rep. January 1, 2007 Gresham & Gresham	The Price Isn't Right Know Your Worth: Here are four ways financial advisors can improve their pricing models -- and boost their reputations.
Registered Rep. January 1, 2007 Kevin McKinley	Immediate Annuities Equal Tax Rewards Thanks to a quirk in the tax code, using an immediate annuity may give your clients both higher income and lower taxes -- catapulting the after-tax return on an immediate annuity well beyond what is offered by other conservative fixed-income investments.
Registered Rep. January 1, 2007 Matt Oechsli	2007: The Year of Personal Greatness The following action plan combines research on high-performance advisors and wealth-management teams with wisdom gleaned from the experts. As you read each factor, process it on a personal level.
Registered Rep. January 1, 2007 David A. Geracioti	What Advisors Look Like Now Here are selected highlights from a reader survey selected from wirehouses, independent broker/dealers, RIAs, financial planners, bank brokers and insurance reps that offers a pulse from this demographic on business trends.
Registered Rep. January 1, 2007 John Kador	Schwab's About Face With the sale of U.S. Trust to Bank of America, what now of Schwab's determination to keep wealthier customers from bolting?
OCC Bulletin January 8, 2007	Guidance to National Banks Concerning Schemes Involving Fraudulent Cashier's Checks This bulletin discusses factual and legal issues related to fraudulent cashier's checks, including associated risks for depositary banks, and provides recommendations to national banks for managing these risks and protecting their customers.
OCC Bulletin January 5, 2007	Complex Structured Finance Transactions: Notice of Final Interagency Statement Modifications to the initial statement address issues and concerns raised by commenters.
CFO January 10, 2007 Edward Teach	Bank of New York's Bruce Van Saun Bank of New York's vice chairman and CFO discusses his bank's merger with Mellon Financial.
Registered Rep. January 4, 2007 Halah Touryalai	Former Morgan Stanley Exec Sues for Age Discrimination Morgan Stanley is facing a discrimination lawsuit by a former managing director who claims he was fired because of his age.
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