If you want to fend off competition from Internet-based trading services, no-loads and other discount competitors, personal service is your most effective strategy, according to speakers at the second annual retail development conference sponsored...
Salomon Smith Barney completed the rollout of its new NextGen broker workstations in late September, completing a process that began in 1997. And feedback from brokers seems to be positive."It's terrific," says Senior Vice President Ken South at...
The NASDR filed a prospective rule change with the SEC in July that would change the way arbitration panels are picked.Under the plan, both sides to a dispute would assign rankings to a list of arbitrators and strike any they did not like. The...
Although the NASD's continuing education program was just toughened up in July, Merrill Lynch's director of regulatory policy doesn't think it goes far enough. Addressing a crowd of about 200 compliance and training directors at the SIA's...