A look at the B-D protocol
You could see them as a threat or an opportunity. They're broker reps who, for one reason or another, have chosen to leave their brokerage ...
Some suggest that a best practice would be to keep such logs in a WORM format - write once, read many - which doesn't allow ...
An RIA reports hassles galore in trying to purchase bonds from the state of Israel for a client. The scenario: A client wishes to buy ...
Beyond the usual suspects - all compliance policies and procedures, information on testing and compliance reviews and records of violations of the code of ethics ...
The SEC need not wait for Congress to act to reform the "patchwork quilt" of regulatory rules governing investment advisers and broker-dealers, according to Commissioner ...
In letters and speeches, investment industry advocates are lobbying Congress on how to pursue a potential harmonization of regulations governing investment advisers and broker-dealers. IA ...
Much resides on the plate of the SEC but here's another sign that the whole issue of harmonizing investment adviser and broker-dealer regulation is heating ...
It appears more likely that whatever regulatory reform package emerges from Congress that it may well erase the distinctions between IAs and broker-dealers.Last Thursday the ...
Firms that engage in retail foreign exchange activities, supervision procedures that promote good compliance, sales practices to seniors, anti-money laundering efforts and other examination topics ...