MSRB's New G-36 System for Broker-Dealers Takes Effect
- Leveraging Your Business Through Your Broker-Dealer. // National Underwriter / Life & Health Financial Services;7/1/2002, Vol. 106 Issue 26, p18
Provides information on the importance of broker-dealers in selling securities in the U.S. Insurance products that broker-dealers have control access to and compensation of; Provisions in the National Association of Securities Dealers 94-44 and Notice 96-33; Difference between the function of a...
- Fidelity to Boost Unified Accounts. Hintze, John // Securities Industry News;4/18/2005, Vol. 17 Issue 15, p12
Reports on the plan of Fidelity Investments' National Financial unit to offer the unified managed account (UMA) investment vehicle to its correspondent broker-dealers in 2005. Significance of the move; Benefit of the investment vehicle for broker-dealers; Functions included in UMAs.
- SECURITIES RESEARCH: Additional Actions Could Improve Regulatory Oversight of Analyst Conflicts of Interest. Clowers, A. Nicole; Tsuhara, Richard; DeMarcus, Rachel; Evans Jr., Lawrance; Humble, Tiffani; Lager, Jim; Molino, Marc W.; Pun, Angela; Roesmann, Barbara; Sandler, Jessica; Saunders, Cynthia // GAO Reports;01/12/2012, preceding p1
The article discusses reforms adopted by the U.S. Securities and Exchange Commission(SEC) and self-regulatory organizations (SROs) to address conflicting interests between broker-dealers' research and investment banking personnel. While the audit, done in 2010-2012, attests to the reforms'...
- The Will and Way to Surveill. Martinez, Aldo // Securities Industry News;3/8/2010, Vol. 22 Issue 5, p23
The article discusses the need for government regulators to conduct a national and global dialogue with broker/dealer firms and market centers to detect real time market manipulations. It points out the need to establish a clear procedure for analyzing trading data for the purpose of protecting...
- Approaches Differ for B-Ds, RIA CIOs. Daryanani, Gobind // Journal of Financial Planning;Jun2008 Trends in Investing, Vol. 21, p14
The article reports that high-net-worth investors are attempting to increase their knowledge of possible investments by studying the operating styles of registered investment advisers (RIAs) and broker-dealers (B-Ds). The author conducted a poll of a group of chief investment officers and their...
- STRUCTURE OF EXCHANGE MARKET FOR DERIVATIVES AND PRINCIPLES OF ITS ORGANIZATION. Andreeva, G. I. // Actual Problems of Economics / Aktual'ni Problemi EkonomÃ¬ki;May2011, Vol. 119 Issue 5, p183
The article considers the structure of the exchange market for the derivatives and analyzes it from the viewpoint of its functionality. Principles of an exchange market organization for the derivatives are determined.
- Domini Tiptoes Into Broker/Dealer Channel. Pizzani, Lori // Money Management Executive;11/8/2004, Vol. 12 Issue 44, p12
The article informs that the name Domini is synonymous with socially responsible investing. But for many broker/dealers, the Domini name represents a laudable, but not personally profitable, investment philosophy. Now Amy Domini, president, CEO and founder of Domini Social Investments of New...
- THE IMPACT OF A UNIVERSAL FIDUCIARY STANDARD. Anderson, Brian // Benefits Selling;Sep2012, Vol. 10 Issue 9, p61
The article discusses a study which concluded that a harmonized standard of care at least as stringent to the fiduciary standard presently applied to investment advisors should extend to all brokers, dealers and investment advisors. Critics stated that the study lacked proper analysis especially...
- The Future of Independence. Gallant, Dennis // On Wall Street;Sep2004 Resource Guide, Vol. 14, p12
Focuses on the prediction on the independent broker-dealer (IBD) market in the U.S. in 2005. Nature of independent advisors; Views on the growth of the IBD market; Recognition of the success of independent advisors by traditional firms; Requirements for advisors in deciding for independence.