FINRA AND INCENTIVE TRAVEL
- TRAINING, FINRA-STYLE. Hall, Alison // Financial & Insurance Meetings;Mar/Apr2008, Vol. 44 Issue 2, p9
An interview with Maribel Gerstner, an expert on Financial Industry Regulatory Industry (FINRA), is presented. When asked to whom the FINRA rules apply, Gerstner says that it applies to banks and broker/dealers who sell securities products and are registered with the FINRA. She claims that the...
- RULING CLASS. Hall, Alison // Special Events;Jul2008, Vol. 27 Issue 7, p27
An interview with Maribel Gerstner, an expert on U.S. Financial Industry Regulatory Authority (FINRA) rules covering meetings and gifts, is presented. She states that FINRA rules apply to banks and broker/dealers that sell securities products and are registered with FINRA.
- Getting FINRA's Take on Gifts. Hall, Alison // Financial & Insurance Meetings;Sep/Oct2008, Vol. 44 Issue 5, p24
An interview with Maribel Gerstner, chief operating officer for Allstate Financial Services is presented. When asked about interpretations of the gifts rule, she clarified that gifts to celebrate a life event do not count toward the $100 limit if the firm's registered rep is paying, but they do...
- Allstate Distribution Unit Hires Sales Exec. // American Banker;5/3/2005, Vol. 170 Issue 84, p5
Reports that Allstate Distributors LLC has hired George F. Veazey to be a senior vice president and the wire house channel's national sales manager. Past employment of Veazey; Responsibilities of Veazey in his new role, which include assisting broker-dealers with strategic plans and business...
- Brokerage/securities firms. Snetzko, Laura A. // Fairfield County Business Journal;11/03/97, Vol. 36 Issue 44, p14
Presents a list of various brokerage and securities firms in Connecticut. Merril Lynch; Smith Barney; People's Securities Incorporated; More.
- Bond Trading's Future Eyes Stock Market Past. Kite, Shane // Securities Industry News;4/29/2002, Vol. 14 Issue 17, p1
Focuses on the effect of regulations and Trace's proposed fee schedule on broker-dealers relationship. Purpose of the transparency regulations; Details on the proposed fee schedule; Advantages of the price information systems in bond markets.
- Largest securities firms. Pattanumotana, Goon // San Diego Business Journal;05/04/98, Vol. 19 Issue 18, p18
Ranks securities firms in San Diego, California based on the number of their local registered brokers as of March 1, 1998. Includes contact information; Number of offices; Local executive; Parent company; Headquarters; Year founded.
- Elation climbing along with the stock market. Pattanumotana, Goon // San Diego Business Journal;05/04/98, Vol. 19 Issue 18, p19
Details the strong financial performance of securities firms in San Diego, California in 1997. Ranking of the firms; Consolidation as the highest priority for the financial arena.
- Westchester's largest brokerage/securities firms. // Westchester County Business Journal;7/19/93, Vol. 32 Issue 29, p10
Tabulates the largest brokerage/securities firms ranked according to the number of registered representatives. Merrill Lynch Private Client as first in rank; Charles Schwab and Co., Inc. as fifth in rank; Lieber and Co. as tenth in rank; More.