Demonstrate stability and longevity: Top advisors place a high value on stability and a sound risk culture and want to affiliate with broker-dealers
who proudly demonstrate their commitment to these attributes.
are not required to register with the SEC, they must register with the National Association of Securities Dealers (NASD) and are subject to SEC oversight.
The Federal Reserve is also augmenting its current examination procedures regarding sales of mutual funds by state member banks or affiliated broker-dealers
to ensure that the guidance contained in the recent interagency statement is being heeded.
NPH serves as the holding company for the independent broker-dealers
INVEST Financial Corporation, Investment Centers of America, National Planning Corporation, and SII Investments, Inc.
Will Need to Refine Business Models, Increase Operational Efficiency and Broaden Support for Investment Professionals to Achieve Continued Success
MarketAxess' multi-dealer trading platform allows our institutional investor clients to simultaneously request competitive, executable bids or offers from multiple broker-dealers
, and to execute trades with the broker-dealer
of their choice.
NASD), New York Stock Exchange (NYSE) and 40 State Securities Commissions working through the North American Securities Administrators Association (NASAA), today commenced a coordinated examination effort to determine whether broker-dealers
are in compliance with the commission's Penny Stock Rules (Securities Exchange Act Rules 15g-1 through 15g-6).
Pink Sheets: NYFX) today announced that eight of the leading global broker-dealers
have signed agreements for the real-time distribution of Indications of Interest (IOIs) and Advertised Trades (ATs) to the buy-side via NYFIX.
AMEX: ICH), today became one of the industryeIUs first independent broker-dealers
to offer comprehensive group health, dental, vision, life & disability insurance for its registered representatives.
Landefeld worked as an independent consultant during 2005, and assisted the NPH broker-dealers
in the standardization of their compliance policies and procedures.
Through Albridge Wealth Reporting, the firm's web-based portfolio accounting and performance reporting solution, this valuable customer data is readily accessible to leading financial institutions and advisors including investment management firms, insurance companies, banks, registered investment advisors, and independent, insurance and bank broker-dealers
As Sutherland continues to expand its representation of broker-dealers
and investment advisers, and the financial services industry on regulatory and enforcement matters, Mr.