Clusterstock  Mar 22  Comment 
WASHINGTON (Reuters) - United States regulators should offer standard regulations for broker dealers and the Securities and Exchange Commission will offer its own proposal, the head of the SEC said on Tuesday. The SEC should outline a proposal to...
New York Times  Feb 25  Comment 
Dodd-Frank’s Title II provision for the broker-dealers, also known as “orderly liquidation authority,” has always been a bit confusing.
Motley Fool  Feb 21  Comment 
Individual investors work with both of these investment professionals, but do you know the difference?
Mondo Visione  Feb 2  Comment 
The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2016 Regional Compliance Outreach Programs for Broker-Dealers that will take place in New York,...
Insurance Journal  Jan 28  Comment 
Berkshire Hathaway Specialty Insurance (BHSI) has launched life agent & broker dealer professional liability insurance and named Atea Martin as head of claims. Underwriting of the new line is overseen by Paul Humel, AVP, Financial Institutions,...
MarketWatch  Jan 26  Comment 
American International Group announced plans to sell its broker-dealer network, partially spin off its mortgage-insurance unit and said it will return at least $25 billion to shareholders over the next two years.
Mondo Visione  Jul 14  Comment 
Thank you, Kevin, and thank you all for joining us today.  It is my pleasure to kick off our annual broker-dealer compliance outreach program.  Our goal each year is to share insights into the SEC’s initiatives and priorities and to continue...  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...  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...


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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