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Special Report on

Investment Broker and Dealer

investment broker and dealer special research report Photo by
Optimum graphic presentation of this site requires a modern standards-friendly browser. The browser or PDA you are using may not display exactly as intended, but you will still be able to access all of our content. For more information, see About This Site . Why upgrade? Click here to see how this site's homepage displays with a modern browser. View the print-friendly version: PDF (0.1 MB) Visit the LRN-RAND Center for Corporate Ethics, Law, and Governance The financial service industry is becoming increasingly complex and more difficult to regulate. This brief describes broker-dealers and investment advisers — their ...
First Command provides personalized services through locally-based trained and licensed Financial Advisors and through its Home Office in Fort Worth, Texas. The company offers advice on securities, with an emphasis on mutual funds, annuities, life insurance, and municipal funds (including Section 529 Plans). Through related companies it offers insurance and banking products and services. 1 As of June 30, 2008, First Command had over 290,000 client families, $ 17.4 billion in managed assets, $51.8 billion in insurance products, and $530 million in banking assets. As of December 31, 2006, First Command had over 294,000 client ...
Broker Dealer » Blog Archive » Investing For Dividends
Looking for a relatively safe investment that will provide you with a continual return on your investment? Stocks from companies that return dividends every year allow you the option of dividend reinvestment to increase the value of your stock. Dividend reinvestment uses the compounding principle to provide growth in your investment over the years you own it by allowing you to buy partial shares with your dividends. In addition, a dividend reinvestment strategy allows you to switch between receiving dividend income on a regular basis and a reinvestment strategy as your financial situation changes during your lifetime. Important ... market research, surveys and trends
Broker-dealer duty in SEC's hands - Gloria Park -
Rep. Barney Frank (D-Mass.) (left) and Sen. Chris Dodd (D-Conn.) stand behind House Speaker Nancy Pelosi (D-Calif.) as she signs the financial reform bill. AP The Politico 44 / Click Story Widget Requires Adobe Flash Player . Even as the president prepares to sign the financial reform bill, lobbying groups are rearming for a second round of advocacy for a universal fiduciary standard. This time, however, the battleground is not Congress but the Securities and Exchange Commission, to which Congress punted the issue. The Dodd-Frank Wall Street Reform and Consumer Protection Act that passed the Senate last Thursday requires the SEC ... market research, surveys and trends


Investor and Industry Perspectives on Investment Advisers and ...
The difference between mean of ownership equity ($32 million) and the median ... broker-dealer (7 percent), registered representative of a broker-dealer (12 ... industry trends, business articles and survey research
SEI - SEI Quick Poll: Broker-Dealers See More Technology and ...
OAKS, Pa., Aug. 1 /PRNewswire-FirstCall/ -- If they had an extra $100,000 to invest in their businesses, most broker-dealers would spend it on technology, reports a Quick Poll from SEI (Nasdaq: SEIC). The survey revealed that 62 percent of broker-dealers (BDs) surveyed would invest additional money in technology automation and integration. Additionally, 27 percent stated that offering best-of-breed technology was a key selling point to advisors. The survey was part of "The Power of Three," SEI's first annual summit for BDs and the latest in an educational series created by SEI to encourage thought leadership ... industry trends, business articles and survey research
CoroWare to Present at FSXOne Conference in Fort Lauderdale, Florida
today announced that it will be a first time presenter at FSX (Financial Services Exchange, Inc.) investors conference in Fort Lauderdale. The company is presenting at the conference to gain exposure to an audience of FINRA member firms and independent broker-dealers that FSX has been bringing to their conferences over the past 27 years. "We tagline our conferences 'Connect for Success' because presenting companies and funding sources build successful working relationships," said Judy Ensweiler, Executive Director of FSX. "We realize, it takes good companies, meeting with good funding sources, to create ... market trends, news research and surveys resources
KS Bancorp, Inc. (KSBI) Announces Second Quarter 2010 Financial Results
parent company of KS Bank, Inc. (the "Bank"), announced second quarter financial results for the 2010 fiscal year. The Company reported unaudited net income of $583,000, or $.45 per diluted share, before adjusting for the effect of preferred stock dividends and accretion of discount on preferred stock for the six months ended June 30, 2010, compared to a net income of $282,000, or $.21 per diluted share, for the same period in 2009. After adjusting for $126,000 in dividends and accretion of discount on preferred stock, the net income available to common ... market trends, news research and surveys resources


Oct 12, 2006 ... Defendant was an investment broker and dealer with John Hancock Distributors, Inc. and. John Hancock Mutual Life Insurance Co. ... technology research, surveys study and trend statistics
Guide to Broker-Dealer Registration (April 2008)
The Securities Exchange Act of 1934 ("Exchange Act" or "Act") governs the way in which the nation's securities markets and its brokers and dealers operate. We have prepared this guide to summarize some of the significant provisions of the Act and its rules. You will find information about whether you need to register as a broker-dealer and how you can register, as well as the standards of conduct and the financial responsibility rules that broker-dealers must follow. Although this guide highlights certain provisions of the Act and our rules, it is not comprehensive. Brokers and dealers, and their ... technology research, surveys study and trend statistics
Rule 202(a)(1)-1 -- Certain Broker-Dealers
Will not be deemed to be an investment adviser based solely on its receipt of special compensation (except as provided in paragraph (b)(1) of this section), provided that: Any investment advice provided by the broker or dealer with respect to accounts from which it receives special compensation is solely incidental to the brokerage services provided to those accounts (including, in particular, that the broker or dealer does not exercise investment discretion as provided in paragraphs (b)(3) and (d) of this section); and Advertisements for, and contracts, agreements, applications and other forms governing, accounts for ...
WikiAnswers - How does a securities broker dealer differ from a ...
A broker-dealer is allowed by industry regulations to make money on commissions, if acting as a broker, and mark-ups, if acting as a dealer. Registered Investment Advisors are not allowed to charge commissions and to hold inventories of securities; and earn their income from advisory fees. Such fees are commonly calculated based on total value of assents under management. Investment advisors usually have close associations with broker-dealers, which allow them to execute transactions on clients' behalf instantaneously. Very frequently a broker-dealer can be a registered investment advisor and vice versa. First answer by ...
Do M&A advisory and private placement require Broker-Dealer ...
Saw a post here in Linkedin that says M&A advisory and private placement for US companies require Broker-Dealer License from FINRA (see linked below). Does this means the US has no deal broker that is not a professional merchant banker. I found this very strange and would appreciate comments. I would have thought that someone can structure the advisory fee as consulting? Could any lawyer out there advise whether this can be done (success fee for consulting based on transaction size), particularly for things like VC deals (US$1 - 5 mn deals). ...