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published on Fri, 24 Nov 2017 20:10:39 GMT
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- 13 best, worst-performing broker-dealers: Q3 earnings, 2017 - BenefitsPro
published on Fri, 24 Nov 2017 12:38:25 GMT
BenefitsPro13 best, worst-performing broker-dealers: Q3 earnings, 2017BenefitsProLarge financial institutions had a good third quarter this year, but some broker-dealers struggled. Here are the 13 best- and worst-performing broker-dealers of Q3 2017. Large financial institutions had a good third quarter this year, with most ...
- Do specialized retirement plan advisers even need a broker-dealer? - InvestmentNews
published on Wed, 22 Nov 2017 15:37:24 GMT
InvestmentNewsDo specialized retirement plan advisers even need a broker-dealer?InvestmentNewsSo advisers are asking, 'Why do I need my broker-dealer?'" Some advisers say broker-dealers are still relevant, but that their role has evolved. While their relationship with 401(k) advisers may have been more transaction- and compensation-oriented in ...
- Broker-dealers debate big data and other technology promises - InvestmentNews
published on Sun, 05 Nov 2017 04:00:39 GMT
InvestmentNewsBroker-dealers debate big data and other technology promisesInvestmentNewsHow successful are? broker-dealers in harnessing the power of big data and predictive analytics to help advisers grow their practices and retain clients? According to a panel of broker-dealer executives participating in an InvestmentNews Technology ...and more »
- SEC grants relief to broker-dealers, avoiding conflict between US and MiFID II requirements - Lexology
published on Wed, 22 Nov 2017 15:14:15 GMT
SEC grants relief to broker-dealers, avoiding conflict between US and MiFID II requirementsLexologyWhen MiFID II comes into effect in two months' time, investment managers subject to its requirements will have to 'unbundle' the execution and research payments they make to broker-dealers, with research services being paid for with the investment ...
- Wells Fargo Feels Effect of SEC Targeting Broker-Dealer Compliance - Wall Street Journal (blog)
published on Wed, 15 Nov 2017 19:47:47 GMT
Wall Street Journal (blog)Wells Fargo Feels Effect of SEC Targeting Broker-Dealer ComplianceWall Street Journal (blog)Anti-money laundering enforcement of broker-dealers by the Securities and Exchange Commission has been on the rise over the past year or so, but the $3.5 million penalty of a Wells Fargo unit stands out because it concerns a management shakeup and ...and more »
- ICO Advisors: Are they Broker-Dealers or Finders? - Crowdfund Insider
published on Thu, 16 Nov 2017 04:46:13 GMT
Crowdfund InsiderICO Advisors: Are they Broker-Dealers or Finders?Crowdfund InsiderBroker-dealers are primarily regulated under the Securities Exchange Act of 1934 (the ?Exchange Act?). In addition, many states also regulate broker-dealers through their securities laws, commonly referred to as ?blue sky laws.? For example, California ...and more »
- Advisers Act Treatment of Broker-Dealers Providing Research Services to Investment Managers Subject to MiFID II - The National Law Review
published on Mon, 20 Nov 2017 23:03:55 GMT
Advisers Act Treatment of Broker-Dealers Providing Research Services to Investment Managers Subject to MiFID IIThe National Law ReviewBackground SIFMA's letter to the SEC staff requesting no-action assurance (the SIFMA Incoming Letter) stated that U.S. brokerdealers (and their EU broker-dealer affiliates) that provide research services to investment advisers subject to MiFID II can ...and more »
- United States: Private Funds And Managers ? Navigating Broker-Dealer Requirements - Mondaq News Alerts
published on Wed, 22 Nov 2017 11:23:48 GMT
United States: Private Funds And Managers ? Navigating Broker-Dealer RequirementsMondaq News AlertsWhen looking to raise capital, broker-dealer compliance may not be at the forefront of a private fund manager's mind. However, engaging individuals (including the fund manager's employees) or firms to identify, introduce or negotiate with potential ...
- SEC Risk Alert Highlights Cybersecurity Compliance Risks of Broker-Dealers, Investment Advisers and Fund Companies - Lexology
published on Fri, 10 Nov 2017 19:41:15 GMT
SEC Risk Alert Highlights Cybersecurity Compliance Risks of Broker-Dealers, Investment Advisers and Fund CompaniesLexologyThe Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE) recently issued a Risk Alert highlighting its observations from its examinations of 75 firms, including broker-dealers, investment advisers and fund ...
- MiFID II Unbundling Rules: Implications for Asset Managers and Broker-Dealers in the United States - Lexology
published on Thu, 02 Nov 2017 15:29:21 GMT
MiFID II Unbundling Rules: Implications for Asset Managers and Broker-Dealers in the United StatesLexologyUS broker-dealers also will be indirectly affected by MiFID II if they provide investment research services directly to EEA firms or EEA clients, or to US asset managers that provide services to EEA clients, as discussed further below. The impact of ...and more »