Broker-dealers
Clearing Arrangements for Introducing Broker-Dealers
... all broker-dealers will be subject to the Fact Act, but most introducing and clearing firms will need to comply with the Fact Act’s stringent privacy provisions, including provisions with respect to ...
46
Hedge funds and prime broker dealers: steps towards a “best practice proposal”.
... prime broker dealers and the largest hedge funds on a regular ...prime broker dealer to get a sense of the impact of simultaneous margin calls by all prime broker dealers exposed to one ...
10
Hedge funds and prime broker dealers: steps towards a best practice proposal
... Clearly much work remains to be done to make such a “best practice proposal” operational and productive in the sense of enhancing fi nancial stability. In principle, a proposal along these lines would not require formal ...
10
[ ] BROKER/DEALERS, FINANCIAL ADVISORS & CLIENTS: ANNUITIES AND THE REGULATORY ENVIRONMENT
... The Insured Retirement Institute (IRI) is a not-for-profit organization that for more than 20 years has been a mainstay of service, commitment and collaboration within the insured retirement industry. Today, IRI is ...
8
Transitioning Broker Dealers Is making the move to a new broker dealer the right choice for you? What factors are at play in the decision to make a
... If an advisory firm is unhappy with their current wire house, an assessment should be done to determine what caused the unhappiness and whether another wire house would be a better fit, echoes Papa. For example, an ...
6
If It's Broken, Sometimes It Can't Be Fixed: Why the Auction Rate Securities market Was Faulty from Its Inception and how Broker-Dealers Caused Its Downfall
... market by refusing to allow auctions to follow their natural path, the safety and security of the market vanished. Innovation and productivity are essential for the proliferation of wealth in the ever-changing financial ...
26
DOL Investigations: Broker-Dealers and RIAs as Targets
... as broker-dealers who do not acknowledge fiduciary status and believe they are not acting as fiduciaries may nonetheless become functional fiduciaries by virtue of providing individualized advice or being ...
5
Report on the Anticipated Operational Impacts to Broker- Dealers of the Department of Labor s Proposed Conflicts of Interest Rule Package
... This points of view captured in this document indicate broad concerns from the broker-dealer community around the operationalization of the requirements of the Rule Package. The SIFMA Working Group identified ...
55
Broker-Dealers, Institutional Investors, and Fiduciary Duty: Much Ado about Nothing
... Fiduciary duties comparable to that borne by investment advisers entails a duty to disclose material facts (includ- ing conflicts of interest), a duty not to subordinate [r] ...
51
A Range of Offerings for Financial Services Firms and Associations, Broker/Dealers, and Related Organizations
... His work has centered on the application of Appreciative Inquiry, Positive Psychology, and Change Management to the financial planning process and to the business of running [r] ...
6
Curbing Broker-Dealers' Abusive Sales Practices: Does Professor Jensen's Integrity Framework Offer a Better Approach?
... 10 2 Jensen repeatedly tells us that integrity requires doing cost-benefit analyses before giving your wordl 03 and not later, when deciding whether to keep your wo[r] ...
21
Credit Default Swaps on Municipal Bonds: A Double-Edged Sword?
... J. Di Lorenzo, Note, Defining a New Punctilio of an Honor: The Best Interest Standard for Broker-Dealers, 92 B.U.. taken place at Goldman Sachs. In particular, ProPublica [r] ...
24
SEC Proposes Recordkeeping, Reporting and Notification Requirements for Security-Based Swap Dealers and Major Security- Based Swap Participants
... to broker-dealers, with certain enhancements and modifications to reflect the specific properties of SBS and requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank ...
12
Econometric Measures of Connectedness and Systemic Risk in the Finance and Insurance Sectors
... By measuring Granger-causality-network connections among individual financial insti- tutions, we find that during the 1998 LTCM crisis (1996–1998 period), hedge funds were greatly interconnected with other hedge funds, ...
57
Rafilas - Risk & Reward
... Jim Van Horn, Jr. - Jim is co-chair of the IM Practice Group and he focuses his practice on representing institutional investors, private investment funds and other market participants in connection with a variety of ...
24
November 24, Sarah Osborn Counsel Bloomberg L.P. 731 Lexington Avenue New York, NY Re: Bloomberg L.P. Dear Ms.
... against broker-dealers ( "BDs") executing trades with or on behalf of their institutional customers in fixed-income acid equity securities trades and/or repurchase ("repo[r] ...
7
Who Will Own Mortgage Assets?
... managers, broker-dealers and mortgage REITs all face significant constraints that prevent them from increasing their share of the market to pick up the ...
12
Systemic Risk and the Tri-Party Repo Clearing Banks
... giving broker-dealers use of their security collateral during the day the system effectively transfers the intra-day risk of a broker-dealer default from many secured lenders to the two clearing ...
12
Meridian-IQTM. Powered by S&P Capital IQ Research. YOUR PREMIER TOOL FOR SELLING, RECrUITING, MARKETING AND UNDERSTANDING THE ADVISOR MARKETPLACE
... Broker-Dealers (BDs). For over 25 years, S&P Capital IQ has been collecting and publishing data on these two groups, often known respectively as the “Blue Book” and “Red Book.” Over 20,000 RIAs and BDs ...
8
NASAA Model Rule Exempting Certain Merger and Acquisition Brokers from State Registration 1. January 2015
... The Broker-Dealer Section of the North American Securities Administrators Association (“NASAA”) is requesting comment for a proposed uniform state model rule regarding the exemption of certain merger and ...
6