Broker-Dealers

Click here to open an Excel worksheet that lists the signatories to the Broker Protocol as of March 2010.

This is a copy of the so-called broker protocol, which brokerage houses often sign with breakaway brokers before they leave.

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 ...

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 ...

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 ...

Future financial debacles could be avoided if Congress creates a "systemic risk regulator" and combines the SEC and the CFTC into a new "capital markets ...

More than 13,000 names make up the list of supposed clients of Bernie Madoff, including several registered investment advisers.Many tell IA Week it's because they ...