Financial Times  Aug 16  Comment 
Insurer says it will now focus on retirement products in North America
Mondo Visione  Jul 28  Comment 
Thank you, Pete [Driscoll], for that kind introduction.  Good morning and welcome to this year’s National Compliance Outreach Program for Broker-Dealers. It is nice to see that many of you traveled to Washington, DC to attend our program...
Forbes  Jul 11  Comment 
Is organizing an affiliated-broker-dealer an exercise in sensible caution, or simply a good deed that won’t go unpunished?
Mondo Visione  May 24  Comment 
Cordium, a market-leading provider of governance, risk and compliance services, today announced an expansion of its compliance services for US and foreign broker-dealers and investment advisers with the launch of a newregulatory hosting solution...
Mondo Visione  May 3  Comment 
Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA) hold their National Compliance Outreach Program for...
Insurance Journal  Mar 28  Comment 
Massachusetts Mutual Life Insurance Company (MassMutual) has completed the integration of its existing broker-dealer, MML Investors Services LLC, and MSI Financial Services Inc., the broker-dealer acquired as part of MassMutual’s July 2016...
Mondo Visione  Dec 16  Comment 
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against the CEO of a Utah-based broker-dealer and two registered persons associated with the firm for causing the firm’s violations of SEC market...
Mondo Visione  Nov 23  Comment 
In this second instalment of the three part article series focusing on capital and credit management, we explore how broker-dealers are coping with the changes in regulation, the operating models they are having to implement, key trends and future...
Reuters  Oct 28  Comment 
Wall Street broker-dealer profits for the full year are on track to surpass that of 2015 and could end three years of consecutive declines in the industry, according to a report on Friday by New York state Comptroller Thomas DiNapoli.
Reuters  Sep 13  Comment 
Toronto-Dominion Bank's capital markets division said on Tuesday it plans to acquire Albert Fried & Co, a New York-based broker-dealer, to expand its presence in the U.S. prime...


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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