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Broker-dealer

RECENT NEWS
Cetera to acquire MetLife’s independent broker-dealer affiliates
Banking Business Review  Apr 8  Comment 
Independent broker-dealer and investment adviser, Cetera Financial Group has entered into a definitive agreement to acquire Tower Square Securities and Walnut Street Securities from MetLife, for an undisclosed sum.
SEC Seeks Information To Assess Standards Of Conduct And Other Obligations Of Broker-Dealers And Investment Advisers
Mondo Visione  Mar 1  Comment 
The Securities and Exchange Commission today published a request for data and other information to assist the agency in considering whether to make new rules about the standards of conduct and regulatory obligations for broker-dealers and...
Nordic And German Broker-Dealers And FESE Sign Joint Letter Against OTF For Equities
Mondo Visione  Feb 19  Comment 
Joint letter sent to the Irish Presidency with a copy to Commissioner Barnier and MEP Markus Ferber to draw their attention to some major concerns we have with the current direction of the MiFID/R discussions on the Organised Trading Facility...
SEC To Hold National Compliance Event For Broker-Dealers
Mondo Visione  Jan 23  Comment 
The Securities and Exchange Commission today announced the opening of registration for its National Compliance Outreach Program for Broker-Dealers that will take place in Washington D.C. on April 9. The event is sponsored by the SEC's Office...
SEC Approves New Rules Regarding Lost Holders Of Securities
Mondo Visione  Dec 21  Comment 
The Securities and Exchange Commission today unanimously approved new rules requiring broker-dealers to conduct searches for holders of securities with whom they have lost contact. Additional Materials Draft Final Rule: Lost...
SEC Issues Report On Brokerage Firms' Handling Of Confidential Information
Mondo Visione  Sep 27  Comment 
The Securities and Exchange Commission today issued a staff report intended to help broker-dealers safeguard confidential information from misuse, such as insider trading. The report by the Office of Compliance Inspections and Examinations...
Days After Hosting A Big Party, Investment Bank Rodman & Renshaw Forced To Halt Its Broker Dealer Business
Clusterstock  Sep 17  Comment 
Late last week, Rodman & Renshaw's parent company Direct Markets Holding Corp announced that it's no longer in compliance with the SEC's net-capital rules and plans to terminate its broker-dealer. [via Investment News Bruce Kelly] From the 8-K...
Broker-dealer Rodman and Renshaw to suspend operations
Reuters  Sep 12  Comment 
Direct Markets Holdings Corp said its broker-dealer unit informed the Financial Industry Regulatory Authority that the unit was no longer in compliance with regulatory capital...
Top Broker Dealer Compliance Issues Disclosed By State Securities Regulators
Forbes  Sep 10  Comment 
On September 9, 2012, the the North American Securities Administrators Association (“NASAA”) identified the top Broker-Dealer  ("BD") compliance violations as a result of analysis of a nationwide series of examinations conducted by state...




more ▼WIKI ANALYSIS
This article is part of WikiProject Definitions. Consider editing to improve it. View articles referencing this definition.
 

A broker-dealer is a company that trades securities both for its own investment accounts as well as for third-party customers/clients.

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