Broker-dealer

RECENT NEWS
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...
Clusterstock  Aug 13  Comment 
NEW YORK (Reuters) - A serious re-evaluation of how broker-dealers are supervised is overdue and should bring about higher capital requirements given the threat broker-dealers still pose to the U.S. financial system, a top Federal Reserve official...
MarketWatch  Aug 8  Comment 
The chief executive officer broker dealer Crucible Capital Group, Charles J. Moore, was arrested on Friday morning at his offices in Manhattan and charged with obstructing a regulatory examination and making false statements and filings to...
Mondo Visione  Jul 3  Comment 
The Bahamas International Securities Exchange (BISX) is pleased to announce that Leno Corporate Services Limited (LENO) has become a BISX Broker-Dealer Member. Leno Corporate Services Limited becomes the sixth BISX Broker-Dealer Member to...
Cloud Computing  May 20  Comment 
MONTREAL, QC--(Marketwired - May 20, 2014) - Silanis Technology, a leading electronic signature provider, today announced that Pershing LLC, a BNY Mellon company, has approved e-SignLive™ electronic signature service for use by any broker dealer...
Mondo Visione  May 15  Comment 
The Securities and Exchange Commission today charged a Tiburon, Calif.-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered with the SEC as a broker-dealer or associated with a registered...
DailyFinance  Apr 22  Comment 
DENVER, CO and ONTARIO, CA -- (Marketwired) -- 04/22/14 -- Quadron Data Solutions™, provider of data management solutions and an affiliate of Fetter Logic, Inc., has added new functionality to its integration with Laser App Software, the leading...
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...




 

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