Broker-dealer

RECENT NEWS
TheStreet.com  Jun 23  Comment 
NEW YORK (TheStreet) -- If you're a broker-dealer, technology has shaken up your business, but it can also help you compete better. You can use technology to strengthen your back-office processes. The CME Group plans to close most of its...
TheStreet.com  Jun 9  Comment 
NEW YORK (TheStreet) -- Broker-dealers are making a big mistake by not paying greater attention to how they manage the fees their clients for executing trades in stocks and other financial products. Over the past 15 years, there has been a...
Mondo Visione  Jun 5  Comment 
The Securities and Exchange Commission today announced that it has named Daniel R. Gregus as the Associate Director for the broker-dealer examination program in its Chicago Regional Office.   Mr. Gregus joined the SEC’s broker-dealer...
Mondo Visione  Jun 3  Comment 
Today, SIFMA president and CEO Kenneth E. Bentsen, Jr. announced the industry’s “Proposed Best Interests of the Customer Standard for Broker-Dealers,” which, if adopted, would establish a best interests standard for broker-dealers serving...
Mondo Visione  May 8  Comment 
The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2015 National Compliance Outreach Program for Broker-Dealers.  The program is intended to provide...
Mondo Visione  Mar 27  Comment 
The former chief executive officer and former managing director of a U.S. broker-dealer (the Broker-Dealer), were sentenced to prison today for their roles in a scheme to pay bribes to a senior official in Venezuela’s state economic development...
Mondo Visione  Mar 26  Comment 
The Securities and Exchange Commission today charged nearly two dozen companies and individuals who regularly bought and sold securities on behalf of a suburban Chicago-based trading firm without registering with the SEC as a broker-dealer as...
Mondo Visione  Mar 25  Comment 
The Securities and Exchange Commission today proposed rule amendments to require that broker-dealers trading in off-exchange venues become members of a national securities association.  The amendments would enhance regulatory oversight of active...
Mondo Visione  Feb 10  Comment 
SunGard has been named “Best Broker-Dealer – Equities” in the 2015 Wall Street Letter Institutional Trading Awards for its Fox River Execution Solutions (Fox River) trading suite. The award winners were announced at the Wall Street Letter's...
Forbes  Feb 3  Comment 
In the years since the financial crisis, advisors have witnessed RIA growth at the expense of traditional broker-dealers. The recovered market can clearly support players in multiple channels. Yet regional brokerages have made their businesses...




 

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

Wikinvest © 2006, 2007, 2008, 2009, 2010, 2011, 2012. Use of this site is subject to express Terms of Service, Privacy Policy, and Disclaimer. By continuing past this page, you agree to abide by these terms. Any information provided by Wikinvest, including but not limited to company data, competitors, business analysis, market share, sales revenues and other operating metrics, earnings call analysis, conference call transcripts, industry information, or price targets should not be construed as research, trading tips or recommendations, or investment advice and is provided with no warrants as to its accuracy. Stock market data, including US and International equity symbols, stock quotes, share prices, earnings ratios, and other fundamental data is provided by data partners. Stock market quotes delayed at least 15 minutes for NASDAQ, 20 mins for NYSE and AMEX. Market data by Xignite. See data providers for more details. Company names, products, services and branding cited herein may be trademarks or registered trademarks of their respective owners. The use of trademarks or service marks of another is not a representation that the other is affiliated with, sponsors, is sponsored by, endorses, or is endorsed by Wikinvest.
Powered by MediaWiki