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- Countrywide Deal Spurred By Crackdown Worries: Report
- Countrywide Deal Spurred By Crackdown Worries: ReportThe resale brokerage industry needs a new business modelHow can a person contact Mr. Mozilo for assistance introducing a CA Dept. of Real Estate approved advance fee business model in the resale brokerage industry? Such an undertaking requires a high net worth person able...
- Discussion threads 2008-01-29
- New Nasdaq MORC Head
- One of the brokerage industry's veteran attorneys was named chairman of Nasdaq's Market Operations Review Committee. Ed Johnsen, a partner in New York's Winston & Strawn, will head up the 15-member committee that has final say over which party is in the One of the brokerage industry's veteran attorneys...
- Research articles 2007-07-01
- New Nasdaq MORC Head.
- One of the brokerage industry's veteran attorneys was named chairman of Nasdaq's Market Operations Review Committee. Ed Johnsen, a partner in New York's Winston & Strawn, will head up the 15-member committee that has final say over which party is One of the brokerage industry's veteran...
- Research articles 2007-07-01
- Spitzer Sues UBS Over Fee–Based Accounts
- AFTER SEEING Eliot Spitzer FIRE OFF A RECENT lawsuit against UBS Financial Services, compliance directors all over the retail brokerage industry are likely to install better ways of screening customers in fee-based accounts, says one plaintiff lawyer. AFTER SEEING Eliot Spitzer FIRE OFF A RECENT lawsuit against UBS...
- Research articles 2007-02-01
- Brokerage industry on a roll.(Investment Outlook)
- Byline: Dan Jamieson IRVINE, Calif. - Times are good on the Street. In fact, according to the Securities Industry Association of New York and Washington, 2006 could end up being the second-most-profitable year for the brokerage...
- Research articles 2006-01-09
- Regulator sued over policy.
- May 12, 2006 (Financial Planning - ABIX via COMTEX) -- The Financial Planning Association FPA has initiated a legal challenge to an exemption for the brokerage industry in the US. Daniel Moisand, president of the association, said the Securities & May 12, 2006 (Financial Planning...
- Research articles 2006-05-12
- Ex-Prudential Insurance Executive Can Remain in Industry, Association Rules.(Originated from The Boston Globe)
- Apr. 8--A regulatory body for the brokerage industry has decided to take no action against a former Prudential Insurance executive who was fired in December. Apr. 8--A regulatory body for the brokerage industry has decided to take no action against...
- Research articles 1997-04-08
- Registry deletions opposed by SIA. (At the Bell).
- * A plan to make it harder to delete disciplinary information about registered representatives from a public database was sharply opposed last week in official comments by the brokerage industry's major lobbying organization. The Securities I * A...
- Research articles 2002-01-07
- Mercer Bullard Puts the Bite on Broker Issues
- To students at the University of Mississippi School of Law, Mercer Bullard is one of several contracts and securities-law professors doling out grades that will shape their futures. But to the mutual fund and brokerage industries, he is an informed agita To students at the University of Mississippi School of...
- Research articles 2005-03-01
- Pitt's Different Take on Analysts.
- The brokerage industry, not Congress or the SEC, should be responsible for proposing new rules governing analysts and their relationships with the companies they cover. That was the comment from SEC Chairman Harvey Pitt as quoted in several published The brokerage industry, not Congress or the...
- Research articles 2001-10-01
- Pitt's Different Take on Analysts
- The brokerage industry, not Congress or the SEC, should be responsible for proposing new rules governing analysts and their relationships with the companies they cover. That was the comment from SEC Chairman Harvey Pitt as quoted in several published rep The brokerage industry, not Congress or the SEC, should be...
- Research articles 2001-10-01
- Regulation causes nail-biting; Advisers fear footing the costs of new rules.(News)
- Byline: Sara Hansard Financial advisers are worried that they may be forced to pick up the tab for implementing new regulations being imposed on the mutual fund and brokerage industries. They fear that new disclosure requirements...
- Research articles 2004-06-07
- "People are not deciding to invest in these markets out of fear. They're investing out of hope".
- As chief lobbyist for the brokerage industry, Marc Lackritz, 53, isn't afraid to make waves. Last year he drew heavy criticism from consumer groups, regulators and the mutual fund industry when the Securities Industry Association proposed relaxing As chief lobbyist for the brokerage...
- Research articles 2000-02-21
- Time for soft-dollar transparency.(Other Views)(acquisitions)
- Byline: Kristi P. Wetherington With the Securities and Exchange Commission's adoption of final "soft dollar'' guidelines, investment managers can maintain confidence in their ability to use commission dollars to pay for research and other ser Byline: Kristi P. Wetherington With...
- Research articles 2006-10-30
- Hard-sell VA tactics under fire; NASD issues an alert, and plans a crackdown.(News)
- Byline: Rick Miller NASD plans to come down hard on brokers who resort to scare tactics when pitching variable annuities, particularly to senior citizens. The brokerage industry's self-regulatory organization has cases under investigatio ...
- Research articles 2003-06-02
- Investment consultants: A poorly regulated profession.(Fiduciary Corner)
- Byline: Donald B. Trone The vast majority of the more than 5 million men and women who serve as trustees of personal trusts and members of investment committees rely on investment consultants for guidance in managing their investment fiduciar ...
- Research articles 2005-02-21
- All bets are off in Congress.
- Kiss goodbye any thoughts of a second tax cut bill. Sen. James Jeffords' decision to dump the GOP -- throwing the U.S. Senate into Democratic hands -- will radically alter the fate of financial services industry initiatives, not to mention Pre ...
- Research articles 2001-05-28
- Broker-dealers say NASD drags feet.
- Small fish say OKs are slow for their expansion plans Steven Wang has a lot of stress not related to the market's recent maddening volatility. Mr. Wang, head of Wang Investments, a small broker-dealer that opened...
- Research articles 2000-05-08
- NASD cracks down on stock research violations; Midsize broker-dealer is the first target.(News)
- Byline: Bruce Kelly NASD is starting to investigate brokerage firms for their analysts' stock reports. So far, it has cracked down on at least one firm, a midsize independent broker-dealer, for releasing a report containing allegedly...
- Research articles 2004-05-10
- SEC set to vote broker-dealer-exemption rule; FPA lawsuit not seen as an obstacle.(News)
- Byline: Sara Hansard WASHINGTON - Despite a lawsuit by financial planners, the Securities and Exchange Commission may soon finalize a rule proposal allowing broker-dealers who charge asset-based fees to be exempt from being regulated as inves Byline: Sara...
- Research articles 2004-11-22
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