Broker-dealer

RECENT NEWS
Mondo Visione  Mar 18  Comment 
The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the regional compliance outreach programs for broker-dealers that will take place in Denver, Los...
DailyFinance  Mar 11  Comment 
ONTARIO, CA -- (Marketwired) -- 03/11/14 -- Laser App Software, a leading provider of forms automation and management software for the securities and insurance industries, is expanding its presence in the broker-dealer industry, rapidly...
DailyFinance  Feb 18  Comment 
PISCATAWAY, NJ -- (Marketwired) -- 02/18/14 -- Shadow Financial Systems, developers of the ShadowSuite® global securities processing, reconciliation, clearing, treasury and accounting system, today welcomed another broker dealer that has gone...
DailyFinance  Feb 11  Comment 
NEW YORK, NY -- (Marketwired) -- 02/11/14 -- HiddenLevers, the portfolio stress testing toolkit for financial advisors, has now been approved by several broker-dealers for use by advisors, with clients and prospects. The client reports...
Reuters  Jan 16  Comment 
RCS Capital Corp on Thursday announced it would buy independent broker-dealer Cetera Financial Group from private equity firm Lightyear Capital LLC for about $1.15 billion in cash...
Mondo Visione  Nov 14  Comment 
The Securities and Exchange Commission today announced that Kevin W. Goodman has been named as the national associate director of the broker-dealer examination program in the Office of Compliance Inspections and Examinations (OCIE).  He will...
Cloud Computing  Sep 30  Comment 
HiddenLevers, the portfolio stress testing toolkit for RIAs, Private Wealth and Family Offices, launches integration with Albridge. Now, registered reps using Albridge Wealth Reporting™ can quickly see the impact of various economic events on an...
Financial Times  Sep 26  Comment 
Broker-dealers and overseas regulators have called for the Commodity Futures Trading Commission to push back plans requiring operators of new swap trading venues to meet an October 2 registration deadline by a couple of months
Banking Business Review  Sep 4  Comment 
US-based Cetera Financial Group has acquired MetLife’s two independent broker dealer companies, Tower Square Securities and Walnut Street Securities, with strategies to boost its investment adviser capabilities in the country.
Mondo Visione  Aug 30  Comment 
Three employees of a New York-based U.S. broker-dealer have pleaded guilty for their roles in bribery schemes involving two state economic development banks in Venezuela. Acting Assistant Attorney General Mythili Raman of the Justice...




 

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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