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Investment Advisor June 2010 Marlene Y. Satter	Tenacity The financial crisis gave independent B/Ds a drubbing from which they've yet to fully recover, according to the IA 2010 broker/dealer survey.
Investment Advisor January 2006 Kathleen M. McBride	Balancing Act The broker/dealer model is changing, spurred by business and regulatory pressures, and reps may stop talking to their clients.
Investment Advisor July 2009 Jonathan Henschen	Broker/Dealer Briefing: Which B/D Model Works Best? Advisors typically don't have a clue as to what the profit centers are at broker/dealers and, frankly, the broker/dealers would like to keep it that way.
Investment Advisor July 2007 Jonathan Henschen	B/Ds in the Year 2010 What the future holds for independent broker/dealers: technology... outsourcing... marketing... practice management... succession planning... alternative investments... fees...
Investment Advisor June 2007 Kathleen M. McBride	Interesting Times Independent broker/dealers find opportunity in the face of changing winds.
Investment Advisor January 2006 Melanie Waddell	A Notch Higher Broker/dealers expect their clearing firms to act like true strategic partners.
Investment Advisor January 2007 Kathleen M. McBride	Symbiotic Relationships When broker/dealers select a clearing firm to partner with, it pays to be choosy. Clearing firms innovate to help correspondents thrive.
Investment Advisor April 2007 James J. Green	Watch LPL Grow The largest independent broker/dealer acquires three Pacific Life Insurance Co. broker/dealers.
Investment Advisor June 2006 Kathleen M. McBride	Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways.
Investment Advisor March 2008 James J. Green	Coming Out Party Only fours years after its inception, the Financial Services Institute has achieved a high level of success as the primary advocacy group for independent broker/dealers. The recent FSI gathering was the broker/dealer group's biggest ever.
Investment Advisor January 2008 Kathleen M. McBride	Clearly Profitable It's an evolution revolution at the big clearing firms.
Investment Advisor March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
Investment Advisor June 2008 Philip Palaveev	The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive.
Investment Advisor May 2009 James J. Green	Pershing Service for RIAs at B/Ds Pershing LLC introduces a new service for its affiliated broker/dealer firms called RIA Complete.
OCC Bulletin September 5, 2002	Investment Portfolio Credit Risks: Safekeeping Arrangements This guidance alerts banks to the potentially significant credit risks they incur when safekeeping investment portfolio assets with third parties, such as brokers, broker/dealer firms and banks.
Investment Advisor September 2009 James J. Green	How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating.
Investment Advisor June 2009 Russ Diachok	Survival of the Fittest An assessment of who will succeed -- and fail -- among the independent B/D ranks.
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Investment Advisor June 2009 James J. Green	Best of Times, Worst of Times Securities America and Capital Analysts have responded to the financial crisis in quite different ways. But they're also quite similar in how they're proactively changing their business models to help reps and the home office thrive
Investment Advisor September 2007 James J. Green	Leading the Way The leaders of the 2007 Broker/Dealers of the Year reflect their reps: optimistic, opinionated professionals whose business savvy is growing in a challenging environment
Investment Advisor December 2006 Kathleen M. McBride	Three-Part Harmony Financial advisors, sing along as the SEC is set to look at proposals for regulatory rules that have been harmonized in an attempt to eliminate, or greatly reduce, conflicts, duplication, and confusion, in a new hybrid set of rules.
Investment Advisor October 2006 Kathleen M. McBride	What Matters Most Results from a Broker/Dealer of the Year poll offer valuable tools for b/ds to see how they are doing, on average, among reps, and where there's room for improvement.
Investment Advisor June 2008 McBride & Roberts	The Presidents Speak Recruiting and building margins are top challenges for independent broker/dealers today.
Investment Advisor December 2009 James J. Green	ING Sells Three B/Ds ING agreed to sell three of its U.S. broker/dealers that comprise the ING Advisors Network to Lightyear Capital LLC.
Registered Rep. January 1, 2006	Corrections In the November issue of Registered Rep. a list of the 20 largest independent broker/dealers failed to include at least two b/ds that were larger than some on that list.
Registered Rep. March 14, 2013	Keeping Brokers Happy Cerulli research reveals the B/D products brokers really value, and those they don't.
Investment Advisor February 2007 Melanie Waddell	Watch Out Broker/dealers and RIAs alike should ready themselves for a number of initiatives being worked on by their regulators in the New Year.
Investment Advisor May 2008 Kathleen M. McBride	What Lurks Beneath There are many registered independent advisors and broker/dealers for whom the Bear Stearns debacle is much more than an academic exercise.
Investment Advisor November 2007 Kathleen M. McBride	Migration Time Is repapering accounts for 202(a) the last straw for wirehouse reps?
Investment Advisor September 2005 Andrew Gluck	The Gluck Report, Part II: Broker/Dealer Tech Report How broker/dealer Portfolios Financial Services uses technology to maximize business.
Investment Advisor September 2009 James J. Green	Where Representatives Would Go This year, more than many others, many representatives of broker/dealers are reassessing their options when it comes to with whom, and how, they will affiliate.
Wall Street & Technology March 21, 2006 Tim Lind	Counterparty Data Challenge Knowing the total relationship a financial institution has with its customer and its counterparty is key -- but only if the data is trustworthy.
Investment Advisor May 2007 Kathleen M. McBride	Exemption Vacation "To be, or not to be?" a fiduciary is the question of the hour for broker/dealers.
Investment Advisor March 2009 James J. Green	Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness.
Investment Advisor April 2008 Melanie Waddell	Getting a Handle on 408(b)(2) The new Department of Labor rule will prove more onerous for Broker/Dealers than for Registered Independent Advisors.
Wall Street & Technology March 2, 2004 Jessica Pallay	Give Me a Break Breakpoints may give investors a break, but Wall Street's CIOs are working overtime to comply with regulators' wishes.
Investment Advisor October 2006 Savita Iyer	Seeking Liquidity Is the life settlement business ready to take off? It depends on whether consumers are willing to accept the fact that life insurance policies can be used for purposes other than what they were originally purchased for.
Investment Advisor June 2006 Green & Murphy	Recruiting Wars: Freedom and Culture The underlying dilemma of independent broker/dealers and their reps -- interdependence versus independence -- is one of the main dynamics in play when it comes to recruiting reps.
Investment Advisor June 2007 Kara P. Stapleton	News & Products NASD has fined two Fidelity broker/dealers for preparing and distributing misleading sales literature... The broker/dealers of ING plan to lower fees that their advisors pay on two core advisory programs... etc.
Investment Advisor December 2007 Angela Herbers	Bottom Up Broker/dealer recruiting is largely a zero sum game. Here is why it more advantageous for B/Ds to help their existing advisors.
Investment Advisor November 2007	Lines Limned by a "Letters" Lover Letters to the Editor: Broker/Dealer of the Year Correction... Spelling correction...
Investment Advisor September 2009 Bob Clark	Clark at Large: These Guys Are Good Did you ever get the haunting feeling that something was going too well? That's how I'm starting to feel about the reregulation of the advisory world, which is part of the Obama Administration's overhaul of the financial services industry.
Investment Advisor July 2008 James J. Green	Further Integration at Fidelity Registered independent advisors and broker/dealer arms at Fidelity announce a joint program.
Investment Advisor March 2009 James J. Green	Broker/Dealer Briefing: A Shot Over the Bow FINRA is quietly conducting a sweep of broker/dealers that could be the first steps to having the SRO take over regulation of registered investment advisors from the SEC -- something the former NASD has long desired.
Investment Advisor April 2006 Andrew Gluck	Your Best Partners More and more, financial advisors are using technology tools to offer additional services and become more efficient.
Investment Advisor August 2006 Kathleen M. McBride	B/d Briefing: A New Regulatory Framework? In a move that may be the opening salvo in a fight for unified investor protection rules, the SEC is seeking information from potential contractors to conduct a study about how investments and advice are marketed to individual investors.