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Broker-Dealers

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 ...
Stock Exchange Concept
This is a rule governing short selling around a public offering
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