Similar Articles

Browse Main Topics:

Business
Computers & Electronics
Education & Reference
Entertainment & Leisure
Family & Home
Finance & Investment
Health
Internet
Pets & Animals
Science & Technology
Society, Politics & Culture
Sports & Recreation

Similar Articles

OCC Bulletin May 22, 2002	Unsafe and Unsound Investment Portfolio Practices Description: Supplemental Guidance This bulletin alerts banks to the potential risk to future earnings and capital from poor investment decisions made at the current low level of interest rates...
Financial Advisor January 2009 Gail Liberman	Boring But Beautiful CDs are looking mighty attractive to some clients these days.
Registered Rep. September 21, 2007 Halah Touryalai	Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers.
OCC Bulletin October 15, 1999	Year 2000 Standards for Safety and Soundness for Bank Transfer Agents and Broker-Dealers New guidelines address transfer agent and broker dealer activities where Y2K readiness is important, even if the activity is not mission-critical in a particular bank...
AskMen.com June 22, 2003 Dan Carter	How To Protect Your Money As money is likely the end goal of your long, hard hours of work, protecting it should be one of your top priorities. To enjoy the fruits of your labor, certain measures should be taken to insure that the cash you earn stays in your pocket.
The Motley Fool November 14, 2006 Dan Caplinger	Banker, Broker, or Both? Be careful to figure out which hat your bank's employee is wearing. The key to dealing with bank-based brokers is to know exactly what you're being offered at all times.
Investment Advisor October 2009 Melanie Waddell	B/Ds Warned on Recruiting SEC Chairman Mary Schapiro sent a letter to broker/dealer CEOs, reminding them of their supervisory obligations under federal securities laws.
U.S. Banker April 2006 Michael Dumiak	Corporate Funding: New Funding Source Rises To Meet Banks' Needs A new type of investment is emerging, a type of securitized CD that provides small and mid-sized banks a much-needed funding source, while giving institutional investors a new asset class of the safest degree.
The Motley Fool March 20, 2008 Rich Smith	Banks Gone 'Rupt What can you do to protect yourself from a potential bankruptcy of your bank?
Registered Rep. June 7, 2011 Diana Britton	Advisor Group in Talks to Acquire Smaller B/D Independent broker/dealer network Advisor Group is talking to a number of small and mid-sized broker/dealers that the company would consider purchasing.
Investment Advisor June 2008 Philip Palaveev	The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive.
The Motley Fool January 17, 2007 Dan Caplinger	Insuring Your Investments Several entities combine to protect assets in various accounts. Although all of these organizations provide some protection for investors, it's still best to avoid having to go through the process of dealing with an insolvent financial institution in the first place.
Investment Advisor September 2008 Philip Palaveev	B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong.
FDIC FYI January 14, 2003	Basel and the Evolution of Capital Regulation: Moving Forward, Looking Back How much capital is enough? How bank regulators have answered this question during the post World War II period has been shaped by two contending strands of thought.
FDIC FYI March 26, 2003	Derivatives Risk in Commercial Banking Derivatives serve an essential role in the U.S. and world economies but also present certain risks to the deposit insurance funds. This article explains what these risks are and describes how they are managed within commercial banking.
Registered Rep. March 9, 2012 Kristen French	Due Diligence: SEC Gives 70-Year-Old Broker a Break Back in the late 1970s, at the start of his career, Robert Hardee Quarles got himself into trouble -- offering and selling non-exempt securities without a valid and effective registration statement and also misleading his customers about the nature and risks of those securities.
The Motley Fool March 17, 2005	60 Seconds to a Brokerage Account Five simple steps to choosing and setting up a brokerage account.
The Motley Fool November 13, 2007 Dan Caplinger	Increase Your CD Income An increasing number of brokers offer brokered CDs, which may pay you more interest than those offered at your neighborhood bank, but make sure you understand all the terms and conditions that apply.
Registered Rep. April 1, 2006 Stan Luxenberg	In Search of Yield If short-term rates continue rising, clients will be focusing more on how their cash is being employed. The increased attention will pressure advisors to look for creative solutions that will generate extra pennies from cash holdings.
Registered Rep. February 2, 2006 Kristen French	Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest.
OCC Bulletin November 1, 2001	Third-Party Relationships This bulletin provides guidance to national banks on managing the risks that may arise from their business relationships with third parties...
Registered Rep. June 3, 2011 Diana Britton	Another IBD Implodes, Victim to Private Placement Claims Independent broker/dealer Harrison Douglas Inc. has filed with the Financial Industry Regulatory Authority and the Securities and Exchange Commission to terminate its registrations and close the firm.
Registered Rep. December 1, 2004 John Churchill	If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption rule.
Investment Advisor May 2007	The Original SEC Rule The Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor even when they were being paid fees for investment advice.
Registered Rep. June 24, 2011 Ed Mason	Acquiring a B/D? Use This Checklist. Attention early in the process to the unique regulatory concerns impacting broker/dealer M&A will increase the probability of parties successfully navigating a path to closing and, ultimately, a successful acquisition.
The Motley Fool November 16, 2007 Rich Duprey	Is Your Broker Bankrupt? After E*Trade shares drop nearly 60% in one day, account holders at many brokerages are asking themselves: What will happen to me if my broker goes bankrupt?
Commercial Investment Real Estate Jan/Feb 2005 Ronald L. Raitz	The ABCs of TICs TIC deals offer individual investors the opportunity to pool funds, secure more financing, and take on ownership interests without property management headaches. Learn the fundamentals of this 1031 exchange strategy.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
The Motley Fool September 18, 2008 Rich Smith	Safe Havens for Cold Hard Cash If you can't trust your investment banker, your insurance broker, or even your supposedly "safe as cash" money fund, then where should you put your cash?
Registered Rep. October 1, 2004 Will Leitch	Bank Shots For the first time in a year-and-a-half, quarter-over-quarter revenue at bank-owned broker/dealers dropped, by 18 percent, according to a Bank Insurance & Securities Association's (BISA) report on the second quarter of 2004.
Registered Rep. May 24, 2006 Kristen French	Broker Sanctioned for Violation of Patriot Act After nearly a year and a half since the law's passage and after over a dozen brokerage firm audits, the SEC took its first enforcement action against a broker/dealer. Yet, in so doing, the SEC noted that broker/dealers are generally doing a very good job of complying.
Investment Advisor August 2008	Do You Believe Your Own Rhetoric? Many breakaway brokers spend more time designing a logo and picking out office furniture than they do planning their exit strategy.
Registered Rep. October 1, 2002 Jonathan P. Arfa	First, Hire the Lawyers With heavy investor losses, customer claims filed with the NYSE and the NASD are expected to hit an all-time high in 2002. What should a broker do if they are the target of a complaint?
Financial Planning March 1, 2008 Allan S Roth	A Safer Source of Alpha For your clients with at least $500,000 in assets, helping them earn an extra 100 to 200 basis points of alpha in fixed income is worthwhile and can generate significant additional risk-adjusted returns.
The Motley Fool April 5, 2004	60 Seconds to Your First Trade Details on finding, opening, and funding a discount brokerage account.
FDIC FYI November 26, 2002	Quarterly Banking Profile Commercial Banking Performance, Third Quarter 2002 Gains on securities sales keep earnings near record level... Weakness in overseas operations limits industry profits... Margins improve at community banks, decline at larger institutions... Strong mortgage demand fuels growth in loans... Asset-quality problems continue to grow at large banks
The Motley Fool May 30, 2007 Dan Caplinger	Get Paid to Save and Invest Credit cards aren't the only way to get cash back. Banks and brokers want your money, and they're willing to pay you for it.
Commercial Investment Real Estate May/Jun 2015 Sean E. Ponist	Going to the Source By attributing the source of the information, an agent or broker can avoid, or at least attempt to avoid, liability for any unintentional errors in information passed along.
Investment Advisor March 2010 James J. Green	B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC.
Investment Advisor September 2008 Eric Schwartz	B/D or RIA? The Case for the Flexible B/D How independent broker/dealers and advisors can thrive by leveraging the trends of the future.
The Motley Fool March 21, 2007 S.J. Caplan	Check Out Your Broker A redesigned website tells you what you need to know before you invest.
The Motley Fool December 12, 2011 Dan Caplinger	Yet Another Goldman Investment You Shouldn't Buy Equity-linked CDs aren't what you think.
Investment Advisor March 2009 James J. Green	Editor's Note: For Your Consideration RIAs and broker/dealers are more alike than they are different, and it's always better to merge from strength than weakness.
Registered Rep. January 1, 2003 Nicholas Ferber	Switching Has Changed During trying times like these, many reps are looking to switch jobs. When pondering a move, no question occupies more time or discussion between brokers, hiring managers and (sometimes) recruiters than the following: "What's in it for me?"
Wall Street & Technology January 5, 2007	Securities Lending Continues Growth Initially a back-office function handled by large banks and broker-dealers, securities lending now is a major front-office function that occupies a prominent position in many broker and custodian offices.
Investment Advisor June 2009 Russ Diachok	Coming to an RIA Near You One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers.
OCC Bulletin July 15, 1999	Summary of the Basel Committee's Consultative Document: "A New Capital Adequacy Framework" The paper describes a framework for bank supervision and regulation that contains three "pillars" -- a regulatory capital minimum, an enhanced supervisory review process, and more effective use of market discipline through disclosure.
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Investment Advisor March 2006 Melanie Waddell	The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.
Investment Advisor September 2009 James J. Green	How the Representatives Voted The year 2009 marked the 19th time that Investment Advisor asked its readers who are representatives of independent broker/dealers to rank their own B/Ds on 14 discrete categories, along with an overall rating.