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NRS ComplianceMAX: Regulatory Compliance Products & Services for the Financial Industry
ComplianceMAX Financial Corporation is a regulatory compliance company that provides consulting services and ... Rule 3012: Broker-Dealer Gap Analysis ...
http://www.compliancemax.com/...
STP and the Broker-Dealer
... a new report, "STP and the Broker-Dealer," Celent describes the evolution of STP, ... an implementation of a cross-border STP solution at a leading broker-dealer. ...
http://www.celent.com/PressRel...
IAI: Summary for ISHARES DJ US BDIF - Yahoo! Finance
Get detailed information on ISHARES DJ US BDIF (IAI) including quote performance, Real-Time ECN, technical chart ... iShares Dow Jones US Broker-Dealers...
http://finance.yahoo.com/q?s=I...
Investing Basics : Office of Securities
... the securities laws; licensing broker-dealers, agents, investment advisers, and ... agent license through a broker-dealer, and also therefore may receive ...
http://www.maine.gov/pfr/secur...
Guidelines
... persons in this state by such broker-dealer, investment adviser, BD agent or IA ... as may be, will not be made absent compliance with state broker-dealer, ...
http://www.oag.state.ny.us/int...
Stockbroker Job - Stockbroker - Online Stockbroker - Discount Stockbroker - Become a Stockbroker
Offers services for securities firms and professionals in the investment field.
http://www.brokerhunter.com/in...
Transamerica Financial Advisors, Inc.
username. password. February 28, 2008 ...
http://tfa.transamerica.com/...
Full Service Broker/Dealer Registration
SCA has nine years of experience assisting firms through the NASD ... BROKER DEALER. Comprehensive Compliance Services. Written Supervisory Procedures ...
http://www.secadvisors.com/bdn...
Independent Financial Advisor Broker Dealer - LPL Financial
LPL Financial is the leading broker dealer in the country to support independent financial advisors. ... The nation's premier independent broker/dealer ...
http://www.joinlpl.com/...
Build Customized Bond Portfolios
... your decision, high-quality broker-dealer partnerships are important, and here's ... with bonds from a broker-dealer, the client likely will pay ...
http://www.aicpa.org/pubs/jofa...
10Tuco Trading Violated Federal Laws, SEC Alleges
San Diego Business Journal (Mar 07, 2008 10:31 AM)
A La Jolla stock day trading business, Tuco Trading LLC, and its principal, Douglas Frederick, were charged March 6 by the Securities and Exchange Commission with violating broker-dealer registration and anti-fraud provisions of federal securities laws.
Ethanol byproducts critical to farm profits
Sioux City Journal (Mar 09, 2008 12:01 AM)
SPENCER, Iowa -- Use of by-products is ''critical'' to being a competitive cattle feeder in northwest Iowa, says commodity broker and cattle feeder Al Gries, speaking at Spencer's recent Ag Outlook, with panelists Brian Petersen and Wayne Hoovestal.
SEC, FINRA Announce Schedule For Regional CCOutreach BD Seminars
U.S. Securities and Exchange Commission (Mar 07, 2008 07:41 AM)
Washington, D.C., March 7, 2008 - The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the schedule and beginning of registration for 14 regional CCOutreach BD seminars . These regional seminars are designed to help broker-dealer compliance officers perform their compliance responsibilities, and will be held in April, May, June and July ...
RBC Dain Rauscher rolls out new brand identity
BizJournals (Mar 09, 2008 10:04 PM)
RBC Dain Rauscher has changed its brand name to RBC Wealth Management as part of its global marketing strategy, the Canadian financial giant announced March 3.
What would Foyle say! The shocking truth about Honeysuckle Weeks, 'the primmest girl on TV'
Daily Mail (Mar 08, 2008 04:24 PM)
As Miss Stewart in Foyle’s War, she’s Miss Prim, but in this eye-opening interview, Honeysuckle Weeks proves she's anything but that in real life, as she tells of her Buddhist wedding to a 'bad boy' dealer in Tibetan antiques, a snog with Hugh Grant, and the day she tried to give her warring parents cannabis-filled mince pies to make them get on
GOLD diggers of 2008
Worcester Telegram & Gazette (Mar 06, 2008 01:12 PM)
Modern-day gold speculators don't have to travel West to sift their pans. They can simply pick up the phone and call a broker or financial adviser, or visit a rare coin dealer.
Buyers jump into murky housing market
North County Times (Mar 09, 2008 09:41 PM)
OCEANSIDE -- Julie Beck stood in a three-bedroom Oceanside house and imagined calling it home. She had wanted a home for years but could not afford it.
Fairfax Financial's Prem Watsa -" Regression to the mean has begun - but only just begun!"
Guru Focus (Mar 09, 2008 08:24 PM)
This quote is from Prem Watsa's annual letter to shareholders for 2007 released today. The performance for Canadian insurer Fairfax Financial (FFH) for 2007 was excellent and I have discussed this in earlier posts.
Economy's dour mood resisting Fed's tricks
Denver Post (Mar 09, 2008 01:59 AM)
In the past seven months, policymakers have cut interest rates, injected money into the banking system and approved a fiscal stimulus package in an effort to keep the economy from slipping into a recession.
The Bank of New York Mellon's Pershing Unit to Host INSITE(TM) 2008 Financial Products and Services Conference
PR Newswire via Yahoo! Finance (Mar 06, 2008 07:00 AM)
Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation, will highlight new developments in global investing and technology and key trends shaping the broker-dealer and independent registered investment advisor marketplace at its annual financial products and services conference.