 | |
- close
- close
|
Banking Business Review
Oct 6
Comment
The application provides access to FundQuest’s technology, reporting, portfolio modeling, fund selection, and rebalancing
Reuters
Oct 6
Comment
Broker dealers must be held to a higher standard if they provide financial advice to clients, regulators told lawmakers on Tuesday as Congress weighs changes to the U.S. financial regulatory system.
Mondo Visione
Sep 15
Comment
Mahogany Partners, LLC ("Mahogany Partners'), a consortium of mid-tier broker dealers announced today that it is live with its first block trading destination, the BlockCross ATS.
Bankstocks.com
Sep 1
Comment
U.S. regulators warned broker-dealer firms about creating incentives that may lead their brokers to engage in questionable conduct such
Clusterstock
Sep 1
Comment
SEC Chairman Mary Schapiro is warning broker-dealers against using “enhanced compensation arrangements” to attract brokers--practices she says could “carry with them enhanced risks to customers.”
Schapiro, in an open letter...
Reuters
Aug 31
Comment
U.S. regulators warned broker-dealer firms about creating incentives that may lead their brokers to engage in questionable conduct such as recommending unsuitable investment products, the Securities and Exchange Commission said on Monday.
Mondo Visione
Aug 31
Comment
SEC Chairman Mary L. Schapiro today issued an open letter to remind broker-dealer chief executive officers of their supervisory responsibilities following reports that special recruitment programs at some firms are premised on enhanced...
TheStreet.com
Aug 26
Comment
While this sector is unlikely to see its spectacular highs again, it seems to have found support.
|
Topic
Top news source/blog that we're missing
Why do you recommend this news source?
|
||
more ▼WIKI ANALYSIS
WIKI ANALYSIS
| ||||||
|
|
