Broker-dealer

RECENT NEWS
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...
Mondo Visione  Jan 29  Comment 
Effective 01/21/15, Bondcube has become a FINRA broker/dealer member.  This comes on the heels of the approval of Bondcube Limited as a crossing network in October 2014 by the UK regulator FCA and in December 2014 by the thirty-one other EU...
MarketWatch  Jan 20  Comment 
CME offers $5.85 a share in cash and stock ahead of shareholder vote.
MarketWatch  Jan 8  Comment 
Private-equity firm is eyeing opportunities in M&A advisory work.
Mondo Visione  Dec 18  Comment 
The former chief executive officer and former managing director of a U.S. broker-dealer (the Broker-Dealer), pleaded guilty to bribery charges arising from their scheme to pay bribes to Maria De Los Angeles Gonzalez De Hernandez, who was a senior...
Mondo Visione  Nov 20  Comment 
The Securities and Exchange Commission today announced that Los Angeles-based broker-dealer Wedbush Securities agreed to settle a pending SEC case for market access violations by admitting wrongdoing, paying a $2.44 million penalty, and...
Mondo Visione  Oct 9  Comment 
The Securities and Exchange Commission today announced publication of a Risk Alert and FAQs to remind broker-dealers of their obligations when they engage in unregistered transactions on behalf of their customers.  The publication of the staff...
Benzinga  Sep 18  Comment 
A breakout in some of the largest financial companies in the US could be an indication of things to come for the overall stock market. The NYSE Broker-Dealer Index recently rallied to a six-year high led by the big players, and is up more than...




 

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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