TITLE

Broker-Dealers Facing Data Storage Dilemma

AUTHOR(S)
Groenfelot, Tom
PUB. DATE
February 2008
SOURCE
Securities Industry News;2/4/2008, Vol. 20 Issue 5, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article reports that broker-dealers are now required by the U.S. Regulation National Market System (NMS) to provide their clients with best execution, and to maintain at least three days of trading data from each month. Venders of storage solutions, however, are concerned how will all that data be stored and how it can be retrieved easily.
ACCESSION #
29416016

 

Related Articles

  • Follow the Numbers.  // Financial Planning;Jun2013, Vol. 43 Issue 6, p10 

    The article presents author's views on the growth of the brokers and dealers of a nation.

  • Chronicling Change. Asnes, Marion // Financial Planning;Jun2005, Vol. 35 Issue 6, p16 

    Introduces articles on an annual survey of independent broker-dealers.

  • Wrap Party. Asnes, Marion // Financial Planning;Jun2010, Vol. 40 Issue 6, p10 

    The article discusses various reports published within the issue, including one by Stacy Schultz on frontier markets and another by Paul Menchaca on brokers and dealers.

  • MSRB Muni Consultant Ban Proposed. Hume, Lynn // Bond Buyer;4/6/2004, Vol. 348 Issue 31857, p1 

    Reports on the proposal of the Municipal Securities Rulemaking Board barring broker-dealers from hiring independent municipal securities consultants. Requirement to disclose information about municipal securities consultants of dealers; Invitation for comments on proposal; Deadline for...

  • COMMENTARY: SIFMA Miffed, Again, After Cold Shoulder from FINRA. Braswell, Mason // Financial-planning.com;7/ 1/2013, p1 

    The author discusses that the banking firm Securities Industry & Financial Markets Association (SIFMA) has declared itself disappointed and is looking for recourse after the U.S. securities regulator, Financial Industry Regulatory Authority Inc. (FINRA) failed to address its concern. It mentions...

  • Ongoing Support A Real Strength.  // On Wall Street;Oct2003 Supplement, Vol. 13 Issue 10, p4 

    Features securities services firm Century Securities Associates Inc. Advantages of the company over other firms serving independent representatives; Areas in which the company excels; Factor a representative must know about a firm before choosing it as his or her broker-dealer.

  • 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...

  • Buy the Book: When to Purchase Your Client List. Foxman, Alan J. // Financial-planning.com;1/22/2015, p13 

    The article presents a question and answer about the proper time for an employee of a broker-dealer to buy a client list following resignation.

  • Publisher's Letter. Whelan, John // On Wall Street;Sep2004 Resource Guide, Vol. 14, p7 

    Provides information on the "2005 Guide to Independent Broker-Dealers," a reference published by the "On Wall Street" publication. Overview of the content of the guide.

Share

Read the Article

Courtesy of THE LIBRARY OF VIRGINIA

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics