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Career - Registered Rep. - Articles on topics important to your career
Career - Registered Rep.
Regulatory - Registered Rep. - Articles on Regulatory Practices in Investing
Regulatory - Registered Rep.
Regulatory - Registered Rep. - Articles on Regulatory Practices in Investing
Regulatory - Registered Rep.
Regulatory - Registered Rep. - Articles on Regulatory Practices in Investing
Regulatory - Registered Rep.
Extinct
Extinct
A Guide to Walking Right
Q: I didn't receive any accounts during an account reassignment after a broker left the firm. My manager said it was because I was on vacation and thus could not call the clients. I suspect that it had little to do with that and more to do with me being out of favor with the manager. If other brokers who were on vacation or not in the office received accounts, what should I do, if anything? A: Unless
We May Be GuiltyBut Only of Being Annoying
Let the finger pointing begin. As the mutual fund scandal kicks into high gear, brokers are starting to unveil their plans for fighting regulators' charges of fraud against them. And if the legal documents filed by some former Pru employees are any indication, the whole scandal is about to get more confusing to the average observer. Heavily supported by documents, including internal Prudential memos
The Ethical Rep
In February, Registered Rep. will introduce a new monthly column, The Ethical Rep, perhaps the first of its kind in the securities industry. A team of more than 30 prominent securities attorneys, law school professors and industry experts will answer questions that you, our readers, send anonymously to the magazine. Have you been asked to do something at work that sets off alarm bells in that part
The Ethical Rep
In February, Registered Rep. will introduce a new monthly column, “The Ethical Rep,” perhaps the first of its kind in the securities industry. A team of more than 30 prominent securities attorneys, law school professors and industry experts will answer questions that you, our readers, send anonymously to the magazine. Have you been asked to do something at work that sets off alarm bells in that part
Extinct?
Extinct?
Street Legal: The Brokerage Industry's Darwin Awards
Sometimes the disciplinary cases that come before the NASD are as amusing as they are troubling.
Smith Barney Settles On WorldCom; Spartis, Elias Continue Fighting
While Smith Barney now considers the WorldCom option-account problems at its Atlanta branch closed, two former brokers are still waging their legal battle.
Ten To Watch 2003
Turmoil. It's a word that best describes the events of the last 12 months in financial services, and one that, in all likelihood, will also describe the next. True, the market has bounced back some. But that is hardly enough to offset the upheavals still confronting the brokerage industry: lawsuits galore, the rising power of independent reps, more consolidation and, of course, ongoing scrutiny from
How to Treat Other People's Money
If you hold a Series 7 and you offer clients mutual funds for their retirement accounts, are you brokering a transaction or are you offering ongoing financial advice? The answer could be in the gray: You may think you are acting as a registered rep, but you may actually be offering something more akin to continuous and comprehensive financial advice. It's an important question, because there is a
The Next Headache: Mutual Fund Marketing Reform
Washington's effort to make fund marketing more transparent could make selling these products a lot trickier for brokers.
Think Big about Small Niches
Reps who organize their practices around a specialty do significantly better than generalists.
False Dawn
Brokers hoped that the Spitzer settlement would put the conflict of interest scandals in the past. Too bad retail investors have such long, bitter memories.
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