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1 Broker-dealer Rankings - InvestmentNews
https://data.investmentnews.com/apps/index.php/broker-dealer-data/rankings
› apps › index.php › r...
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2 To say it's a time of flux in the broker-dealer and - ThinkAdvisor
https://www.thinkadvisor.com/advisorone/files/ckeditor/IA0611_BDDirectory.pdf
INVESTMENT ADVISOR'S TOP 25 INDEpENDENT bROkER/DEAlERS. 2010. 2010. 2010. 2010 avg. B/D gross. BD total fee-BaseD ConCession revenue expenses revenue.
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3 Financial Planning Magazine Releases The Top 50 ...
https://www.prnewswire.com/news-releases/financial-planning-magazine-releases-the-top-50-independent-broker-dealers-124496373.html
Financial Planning Magazine Releases The Top 50 Independent Broker-Dealers. Survey's Top Findings Reveal Growth for the Industry ...
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4 2010: A Bad Year For Broker/Dealers | Investor Protection
http://www.investorprotection.com/blog/2011/01/03/2010-a-bad-year-for-brokerdealers/
Okoboji Financial Services, a top seller of Provident Royalties' private placements, closed its doors last May. One month later, Dallas-based Cullum & Burks ...
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5 Study on Investment Advisers and Broker-Dealers - SEC.gov
https://www.sec.gov/news/studies/2011/913studyfinal.pdf
Study Regarding Obligations of Brokers, Dealers, and Investment Advisers, Exchange Act. Release No. 62577 (July 27, 2010).
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6 McKeon Financial Earns a Spot in Broker Dealers Top 30 ...
https://www.goskagit.com/mckeon-financial-earns-a-spot-in-broker-dealers-top-30-producers-for-2010-second-year/article_1894eaa5-26d9-5e0e-8301-a99178978033.html
John McKeon - CEO of McKeon Financial, has earned a top 20. ... a Spot in Broker Dealers Top 30 Producers for 2010, Second Year in a Row.
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7 Wealth managers lost 14000 advisers in 2010: report - Reuters
https://www.reuters.com/article/us-brokerages-marketshare/wealth-managers-lost-14000-advisers-in-2010-report-idUSTRE77O6J820110825
On top of all that, investors are taking a hard look at their brokers ... while the ranks of broker-dealers and registered reps have been in ...
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8 Broker/Dealer Challenges Shift Since 2010
https://www.wealthmanagement.com/blog/brokerdealer-challenges-shift-2010
Since 2010, top challenges facing broker/dealers have shifted, but compliance and regulatory changes still remain a burden on firms, ...
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9 Prospera Financial Services Takes Two Top Spots in ...
https://www.prosperafinancial.com/prospera-financial-services-takes-two-top-spots-in-investmentnews-broker-dealer-rankings/
As a boutique broker-dealer, Prospera continues to place at the top amongst some of the largest broker-dealers in the country. Prospera ranked # ...
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10 Firm Data | FINRA.org
https://www.finra.org/rules-guidance/guidance/reports-studies/2020-industry-snapshot/firm-data
A2.1. The suitability rule applies to a broker-dealer's or registered representative's recommendation of a security or investment strategy involving a security ...
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11 The Laws That Govern the Securities Industry | Investor.gov
https://www.investor.gov/introduction-investing/investing-basics/role-sec/laws-govern-securities-industry
Note: Except as otherwise noted, the links to the securities laws ... Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ...
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12 Our Broker Dealer - Vision Wealth Management
https://www.visionwmla.com/our-broker-dealer-ria
Ranked among the top 10 independent broker dealers by revenue2, Cambridge remains strong and ... 1 Investment Advisor magazine, 2020-2012, 2010, 2008, 2007, ...
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13 NASAA Identifies Top Broker-Dealer Compliance Deficiencies
https://www.nasaa.org/1510/nasaa-identifies-top-broker-dealer-compliance-deficiencies/
WASHINGTON (October 12, 2010) – Based on coordinated examinations of broker-dealers throughout the United States, the North American Securities ...
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14 Fiduciary duties, broker-dealers and sophisticated clients
https://www.clearygottlieb.com/-/media/organize-archive/cgsh/files/publication-pdfs/fiduciary-duties-broker-dealers-and-sophisticated-clients-a-mis-match-that-could-only-be-made-in-washington.pdf
describes him in the 2010 Chambers USA Guide ... economy relies on the ability of broker-dealers to ... top of the amorphous fiduciary duty stand -.
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15 Pershing Facts and Figures - Nationwide Planning Associates
https://www.nationwideplanning.com/files/pershing_brochure.pdf
is the world's leading provider of securities services and a top, global asset ... ranked among independent broker-dealers (DALBAR, Inc., 2009, 2010).
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16 Press Release: Consolidation in the U.S. Broker/Dealer…
https://www.cerulli.com/press-releases/consolidation-in-the-u.s.-broker-dealer-channel-continues-apace
The 25-largest U.S. advisor-intermediated broker/dealers control 68% of ... wealth-management-oriented B/Ds has declined from 1,284 in 2010 to 923 in 2020.
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17 Primary Dealers - Federal Reserve Bank of New York
https://www.newyorkfed.org/markets/primarydealers
statistical releases. Primary dealers report their trading activities and their cash and financing positions in Treasury and other securities on a weekly basis.
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18 U.S. Broker-Dealers and the Financial Crisis
https://www.bostonfed.org/-/media/Documents/events/2022/0106/Adam-Copeland-Cecilia-Caglio-Antoine-Martin-The-Value-of-Internal-Sources-of-Funding-Liquidity.pdf?la=en
sheets of broker-dealers that are associated with bank holding ... on only the largest broker-dealers (Adrian and Shin, 2010; Carlson.
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19 Services and Partners - Protected Investors of America
https://www.protectedinvestors.com/services-and-partners
Investment Advisor magazine, 2018-2012, 2010, 2008, 2007, Division IV; 2003, Division III. A broker-dealer becomes eligible for this honor only after a minimum ...
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20 Cetera Financial Group - Wikipedia
https://en.wikipedia.org/wiki/Cetera_Financial_Group
Cetera Financial Group is a shared service organization serving affiliates that comprise the second-largest family of independent broker-dealers in the ...
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21 U.S. Broker/Dealer Marketplace 2021
https://s3.us-east-1.amazonaws.com/cerulli-website-assets/documents/Info-Packs/2021/Cerulli-US-Broker-Dealer-Marketplace-2021-Information-Packet.pdf
Broker/Dealer Comparison: Customize data comparing the top-10 B/Ds in ... depicting the top-25 B/D firms by AUM and headcount in 2010, 2015, and 2020.
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22 Cambridge Named 2018 Broker-Dealer of the Year
https://www.businesswire.com/news/home/20180904005792/en/Cambridge-Named-2018-Broker-Dealer-of-the-Year
Cambridge is pleased to report Investment Advisor magazine announced the firm as a 2018 Broker-Dealer of the Year in Division IV1, ...
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23 Dwindling numbers in the financial industry
https://www.brookings.edu/research/dwindling-numbers-in-the-financial-industry/
Hester Peirce looks at the decline in broker-dealers and futures ... The post-2010 spike in regulation was driven in large part by ...
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24 History and Track Record - SIPC
https://www.sipc.org/about-sipc/history
MF Global Inc. fails, beginning the 8th largest bankruptcy in history. SIPC steps in to protect securities customers. 2010. Cash Protection Increased.
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25 Sharing Suspicious Activity Reports by Securities Broker ...
https://www.fincen.gov/resources/statutes-regulations/guidance/sharing-suspicious-activity-reports-securities-broker
November 23, 2010. Guidance Subject. Sharing Suspicious Activity Reports by Securities Broker-Dealers, Mutual Funds, Futures Commission ...
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26 Our Broker-Dealer | Stonepath Wealth Management
https://www.stonepathwm.com/our-broker-dealer/
(5) Investment Advisor magazine, 2015, 2014, 2013, 2012, 2010, 2008, 2007, Division IV; 2003, Division III. A broker-dealer becomes eligible for this honor only ...
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27 The failure mechanics of dealer banks, March 2010
https://www.bis.org/publ/work301.pdf
Alpha has been operating a significant prime brokerage business, offering hedge funds such services as information technology, trade execution, accounting ...
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28 SEC Enforcement Actions Against Broker-Dealers
https://corpgov.law.harvard.edu/2015/12/26/sec-enforcement-actions-against-broker-dealers/
In June 2015, as part of the MCDC Initiative, the SEC alleged that between 2010 and 2014, 36 underwriting firms violated the securities laws by ...
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29 Our Broker Dealer- Cambridge - Clear View Advisors
https://www.clearviewadvisorspa.com/p/our-broker-dealer-cambridge
Cambridge ranks among the top 10 independent broker-dealers by revenue(1). ... 5 Investment Advisor magazine, 2016, 2015, 2014, 2013, 2012, 2010, 2008, ...
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30 31 CFR Part 1023 -- Rules for Brokers or Dealers in Securities
https://www.ecfr.gov/current/title-31/subtitle-B/chapter-X/part-1023
75 FR 65812, Oct. 25, 2010, unless otherwise noted. ... (b) Broker-dealer means a person registered or required to be registered as a broker or dealer with ...
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31 Broker-dealer news and analysis articles - Risk.net - page 3
https://www.risk.net/topics/broker-dealers?page=2
PrinceRidge Group distributes structured products to a client base that includes leading broker-dealers across the US. Yakob Peterseil talks to managing ...
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32 April 14th, 2014 – Roland Gagne an independent financial ...
https://www.facebook.com/valueofadvice/photos/a.10151104448938692/10152170164538692/?type=3
Roland Gagne is Recognized as Top Financial Advisor by Cambridge ... and was previously honored in 2012, 2010, 2008, and 2007 as Broker-Dealer of the Year ...
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33 Our Broker Dealer - Independent Financial Professionals
https://www.ifprofessionals.com/our-broker-dealer
Cambridge is among the top 10 independent broker-dealers based on revenue and continual growth. Click here to learn about the Broker Dealer of the Year ...
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34 April 21, 2010 Ms. Elizabeth M. Murphy Secretary Securities ...
https://www.ici.org/pdf/24266.pdf
3 Households are the largest group of investors in mutual funds. ... Recommended Disclosures by Broker-Dealers and Other Trading Venues: We.
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35 Finance & Development, March 2010 - Opaque Trades
https://www.imf.org/external/pubs/ft/fandd/2010/03/dodd.htm
The top broker-dealers, such as Goldman Sachs; top hedge funds, such as Citadel; and independent firms, such as GETGO, invest heavily in supercomputers and ...
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36 Independent Financial Group, LLC
https://ifgsd.com/ibd-elite-2021/
SAN DIEGO, CA – Independent Financial Group, LLC (IFG) was named the 20th largest independent broker-dealer by revenue, according to industry magazine ...
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37 SEC Regulation of Investment Banks
https://fcic-static.law.stanford.edu/cdn_media/fcic-testimony/2010-0505-Sirri.pdf
non-broker-dealer subsidiaries and the top-level holding company itself. These are entities over which the SEC has never had statutory ...
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38 ING closes sale of three of its U.S. broker-dealers
http://www.ing.com/Newsroom/News/Press-releases/PROld/ING-closes-sale-of-three-of-its-U.S.-broker-dealers.htm
Amsterdam, 1 February 2010. ING announced today that it has closed the sale of three of its U.S. independent retail broker-dealer units, ...
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39 Cetera At A Glance
https://www.cetera.com/cetera-glance
Cetera is one of the nation's largest networks of independently managed broker-dealers. Though each broker-dealer in our organization is unique, ...
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40 Independent U.S. broker-dealers by revenue 2021 - Statista
https://www.statista.com/statistics/322550/leading-independent-broker-dealers-usa-by-assets/
Leading independent broker-dealers in the U.S. 2021, by gross revenue ... As of March 2022, BlackRock was the world's largest mutual fund company, ...
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41 Cambridge Investment Research - Montrose Park Advisors
https://www.montroseparkadvisors.com/cambridge
Financial Planning magazine, June “FP50”, Top 50 Independent Broker-Dealer Issue, 2001-2014. 3 Investment Advisor magazine, 2014, 2013, 2012, 2010, 2008, 2007 ...
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42 Reforming the Regulation of Broker-Dealers and Investment ...
https://www.jstor.org/stable/41806629
broker-dealer exclusion and should subject brokers to the Advisers Act. Second, changes in ... 396 The Business Lawyer ; Vol 65 , February 2010.
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43 BROKER-DEALER OF THE FUTURE II: SIX STUNNING ...
https://information.pershing.com/rs/651-GHF-471/images/per-broker-dealer-of-the-future-ii-part-two.pdf
Five Ways Broker-Dealers Can Accelerate organic Growth ... 2010. 2011. 2012 even in the toughest of times, the growth of advisory firms has been.
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44 A Story that Will Not Tell Itself - PCAOB
https://pcaobus.org/news-events/speeches/speech-detail/a-story-that-will-not-tell-itself-the-pcaob-s-role-in-the-protection-of-customers-of-broker-dealers
When assigning the PCAOB authority to oversee audits of broker–dealers in 2010, Congress did not amend this definition to explicitly include ...
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45 What Is A Broker-Dealer? - Davis Polk
https://www.davispolk.com/sites/default/files/whats_a_broker_dealer_2.pdf
Maiden Lane Commercial Mortgage Backed Securities Trust 2008-1 from. Broker-Dealer Registration, SEC Release No. 34-61884 (Apr. 9, 2010).
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46 Regulatory Coverage Generally Exists for Financial Planners ...
https://www.gao.gov/assets/a314689.html
SEC data show that, as of October 2010, 19 percent of investment adviser firms that ... Under broker- dealer regulation, financial planners are held to a ...
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47 Federal Register, Volume 75 Issue 181 (Monday, September 20 ...
https://www.govinfo.gov/content/pkg/FR-2010-09-20/html/2010-23385.htm
SR-NASDAQ-2010-110] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; ... For example, as of July 2010, 92 of the top 100 broker-dealers by shares ...
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48 Clearing Arrangements for Introducing Broker-Dealers
https://www.lawrencekaminlaw.com/wp-content/uploads/2018/07/2010-Broker-Dealer-Regulation.pdf
[Chapter 17A is current as of February 28, 2010.] § 17A:1 Introduction ... to the clearing arrangement between an introducing broker-dealer.
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49 Largest Firms Dominate US Broker-Dealer Sector
https://www.familywealthreport.com/article.php?id=193214
The top 25 broker-dealer wealth managers in the US account for more ... has declined from 1,284 in 2010 to 923 in 2020, the report said.
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50 How Independent Broker-Dealers Use M&A to Build Their ...
https://clearingcustody.fidelity.com/app/proxy/content?literatureURL=/9882259.PDF
This is a segment of wealth management in which assets and advisors are highly concentrated in the largest firms, and where there have been fewer, but bigger,.
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51 Our Partners - Bulls Financial Group
https://www.bullsfinancialgroup.com/Our-Partners.18.htm
Cambridge is the only broker-dealer to receive the Broker-Dealer of the Year ... 2015, 2014, 2013, 2012, 2010, 2008, 2007, Division IV; 2003 Division III, ...
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52 About Cetera Advisor Networks (Our Broker/Dealer)
https://www.boycefinancialgroup.com/p/about-cetera
In 2010, the company became part of Cetera Financial Group and gained the ... one of the nation's largest and most successful independent broker-dealers.
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53 lpl financial 2010 annual report - AnnualReports.com
https://www.annualreports.com/HostedData/AnnualReportArchive/l/NASDAQ_LPLA_2010.pdf
Today, as the leading independent broker/dealer in the United States, LPL Financial offers an integrated platform of proprietary technology, brokerage, ...
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54 CHAPTER 4. BROKER-DEALERS, AGENTS, INVESTMENT ...
https://law.justia.com/codes/indiana/2010/title23/ar19/ch4.html
2010 Indiana Code TITLE 23. ... Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers.
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55 Sales of Nondeposit Investments | NCUA
https://ncua.gov/regulation-supervision/letters-credit-unions-other-guidance/sales-nondeposit-investments
2010 Letter to Credit Unions providing guidance to federal credit unions ... Historically, banks had enjoyed a “blanket exemption” from SEC's broker-dealer ...
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56 Rule G-17 Conduct of Municipal Securities and ... - MSRB
https://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-17
MSRB Rule Book for the Municipal Market. The MSRB establishes rules to regulate the activities of broker-dealers and banks that buy, sell and underwrite ...
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57 Our Broker-Dealer - Global Wealth Advisors
https://www.gwadvisors.net/who/our-broker-dealer/
As the nation's largest privately-held independent broker-dealer–RIA, ... Commonwealth Cares, a 501(c)(3) charity, was formed in 2010 to maximize the impact ...
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58 Indie Winners: America's Top Independent Brokerages
https://henschenassoc.com/indie-winners-americas-top-independent-brokerages/
Our first Broker Report Card for Independent Broker/Dealers, ... 11.1 percent switching in 2010, and, only 1.7 percent so far this year.
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59 A recognized, ranked independent Broker-Dealer and RIA
https://www.aretewealth.com/who-we-are/
Arete Wealth named to InvestmentNews' Top Independent Broker-Dealer list. ... 2010. – After a down year, the firm turns a profit, emerging from the great ...
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60 Top 50 B-Ds ranked by reps producing $100K-$499K
http://static.fmgsuite.com/media/documents/2f339fcb-78de-4113-9b2a-8f2f789f03d2.pdf
The Leading News Source for Financial Advisers ... Top 50 broker-dealers ranked by number of reps. 2010. % chg. Rank/Firm. # of reps*.
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61 GFI Group Named Top Credit Derivatives Broker for 2010 ...
https://money.cnn.com/news/newsfeeds/articles/marketwire/0663796.htm
The results, released by Risk Magazine in their September issue, named GFI Group as the overall globally preferred broker in 10 categories, out ...
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62 Independent brokerages make inroads, Cerulli report says
https://www.financial-planning.com/news/independent-brokerages-with-financial-advisory-services-account-for-a-growing-share-of-the-retail-wealth-management-marketplace-cerulli-associates-says
... Cerulli's U.S. Broker/Dealer Marketplace 2021 study says. But the top 25 independent brokerages with advisory services, including LPL ...
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63 Financial Industry Regulatory Authority (FINRA) Definition
https://www.investopedia.com/terms/f/finra.asp
In addition to overseeing securities firms and their brokers, ... down after the purchase by ICE of its parent company Climate Exchange Plc in 2010.1112 ...
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64 2010 broker/dealer resource guide. - Free Online Library
https://www.thefreelibrary.com/2010+broker%2Fdealer+resource+guide.-a0229067913
Free Online Library: 2010 broker/dealer resource guide. by "Boomer Market ... we present critical information on the top broker/dealers in the industry ...
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65 Lending to primary dealers - Federal Reserve Board
https://www.federalreserve.gov/monetarypolicy/bst_lendingprimary.htm
These programs were closed on February 1, 2010. ... The Term Securities Lending Facility Options Program (TOP) offered an option to primary ...
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66 Cambridge Honored as 13-time Broker-Dealer of the Year 2020
https://www.joincambridge.com/about-cambridge/news/cambridge-honored-as-13-time-broker-dealer-of-the-year-2020/
Investment Advisor magazine, 2020, 2019, 2018, 2017, 2016, 2015, 2014, 2013, 2012, 2010, 2008, 2007, Division IV; 2003, Division III. A broker-dealer becomes ...
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67 SEC Scrutinizes Use of Fintech by Broker-Dealers and ...
https://www.bakerdatacounsel.com/ftc/sec-scrutinizes-use-of-fintech-by-broker-dealers-and-investment-advisers/
Recognized as one of the top firms for client service, BakerHostetler is a leading law firm that helps clients around the world address their ...
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68 Fall 2010 Securities Bulletin - Department of Banking - CT.gov
https://portal.ct.gov/DOB/Securities-Bulletin/2010/Fall-2010-Securities-Bulletin
On September 23, 2010, the Banking Commissioner issued an Order to Cease and Desist, Notice of Intent to Revoke Registration as Broker-dealer, ...
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69 Laura Pruitt | Jones Day - SIFMA
https://www.sifma.org/people/laura-pruitt/
... she has focused her practice on representing broker-dealers and other ... as a top practitioner in Chambers USA since 2010 in the area of broker-dealer ...
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70 The impact of the Broker-Dealer Fiduciary Standard on ...
https://www.financialplanningassociation.org/sites/default/files/2020-09/JUL12%20JFP%20Finke.pdf
the 2010 Dodd-Frank Act would have eliminated the broker-dealer exception from the definition of investment adviser under the. Advisers Act. If enacted, ...
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71 Investment Dealer Collateral and Leverage Procyclicality
https://www.bankofcanada.ca/wp-content/uploads/2018/07/investment-dealer.pdf
growth in the Canadian investment broker-dealer sector over the period of 1992 to 2010. In- vestment dealers have highly procyclical ...
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72 BA Securities LLC: Independent Broker-Dealer Company
https://www.basecuritiesllc.com/
BA Securities has been a leading global provider of Broker-Dealer affiliation services since 2010.
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73 Working Smarter: Advantages of Independence
https://3dujp92rvec2pc3lg47bwhw1-wpengine.netdna-ssl.com/assets/2013/03/Choosing_Independence.pdf
8 Sizing Up Today's Leading Independent Broker/Dealers ... source: cerulli associates, inc., 2010. the numbers reflect a combination of investment ...
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74 Articles Posted in Broker Dealers - Investment Fund Law Blog
https://www.investmentfundlawblog.com/category/broker-dealers/page/4/
Investment Fund Law Blog — Broker Dealers Category — Page 4 of 5 ... The Staff will continue to focus on the “tone at the top” when ...
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75 Independent Broker-Dealers Post Top-Line Improvement
https://www.americanbanker.com/news/independent-broker-dealers-post-top-line-improvement
Lincoln Investment Planning was the fastest-growing broker-dealer, with a 63.6% leap in revenue. Lincoln was followed by Triad Advisors (50.2%), ...
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76 About Us - SpeedRoute
https://www.speedroute.com/about
We offer a suite of financial technology services to increase broker dealer profits & productivity. Launched in 2010, SpeedRoute provides broker-dealers the ...
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77 Broker-Dealers Archives - Core Compliance
https://www.corecls.com/knowledge-center/broker-dealers/
Episode 97: Creating a Culture of Compliance by Setting the Tone at the Top ... On episode 97 of the CCO Buzz podcast, Sr. Compliance Consultant Janice Powell and ...
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78 further-sec-action-on-market-structure-issues.pdf
https://www.willkie.com/-/media/files/publications/2010/01/further-sec-action-on-market-structure-issues/files/further-sec-action-on-market-structure-issuespdf/fileattachment/further-sec-action-on-market-structure-issues.pdf
Risk Management Controls for Brokers or Dealers with Market Access, Exchange Act Release No. 61379,. 75 Fed. Reg. 4007 (Jan. 26, 2010) ...
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79 Retail Brokerage and Advisory Issues - Morgan Lewis
https://www.morganlewis.com/-/media/files/publication/presentation/speech/retail_brokerage_and_advisory_issues-sifma_new-york_fall_compliance-2010_seminar.pdf
applicable to broker-dealers and investment advisors. ... Of particular note, SIFMA's August 30, 2010 comment letter.
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80 What Transitioning Advisors Need to Know About Broker ...
https://www.jackolg.com/legal-risk-management-tips/what-transitioning-advisors-need-to-know-about-broker-protocol/
Jacko Law Group, PC (“JLG”) continues to see a high volume of financial advisors transitioning from one broker-dealer or registered ...
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81 BGC Partners Revenue 2010-2022 | BGCP - Macrotrends
https://www.macrotrends.net/stocks/charts/BGCP/bgc-partners/revenue
Finance · Finance - Investment Banks, $1.476B ; BGC PARTNERS, INC. is a leading global full-service inter-dealer broker, specializing in the trading of financial ...
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82 Head's Up for Broker Dealers Conducting Private Placements
https://www.littmankrooks.com/2010/12/heads-up-for-broker-dealers-conducting-private-placements/
According to the FINRA Website, the FINRA Board of Governors took action regarding various rulemaking items at its December 8, 2010, ...
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83 Daren R. Domina - Haynes and Boone, LLP
https://www.haynesboone.com/people/domina-daren.pdf
PRACTICES Investment Management, Investment Banking and Broker Dealer, ... “SEC's New Ad Rule Is Advisors' Top Compliance Challenge: Poll,” quoted in ...
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84 2010 Mid Year Securities Enforcement Update - Gibson Dunn
https://www.gibsondunn.com/2010-mid-year-securities-enforcement-update/
[2] The greatest attention by far has been devoted to the SEC's case ... half of 2010, the SEC's enforcement actions against broker-dealers ...
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85 Memorandum - Schulte Roth & Zabel LLP
https://www.srz.com/images/content/6/6/v2/66776/022812-US-Securities-Regulators-Issue-Guidance-on-Master-Sub-Acc.pdf
SRZ Client Alert (Oct. 1, 2010) “FinCEN and SEC Sanction Broker-Dealer and Chief Compliance Officer for AML Deficiencies Relating to.
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86 Webcast Transcript September 29, 2010 - SEC Historical Society
https://www.sechistorical.org/collection/programs/sechistorical-092910-transcript.pdf
McCutchen offers market leading practices focused on the financial services ... regulation of investment advisers and broker-dealers.
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87 BD Ranking Online_2019.indd - Financial Advisor Magazine
https://www.fa-mag.com/userfiles/0000002019_IMAGES_ALL/FA_ISSUES_2019/04_FA_APRIL_2019/BD_Ranking_Online_2019_Expanded_1.pdf
nation's largest privately held registered investment advisor/independent broker-dealer, with 1,933 fee-only and dually registered advisors.
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88 Will 2010 Be the Year of the Breakaway Broker? - Nasdaq
https://www.nasdaq.com/articles/will-2010-be-year-breakaway-broker-2010-01-19
Fidelity has long been recognized as a leading provider for brokers seeking independence. The company's Transition Solutions program offers ...
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89 Broker Beware: New FINRA Guidance Suggests Renewed ...
https://www.foxrothschild.com/publications/broker-beware-new-finra-guidance-suggests-renewed-regulatory-focus-on-broker-dealers-involved-in-regulation-d-offerings
May 2010 Alerts ... This means where broker-dealers take an active role in suggesting investments to their clients, the broker-dealer must ...
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90 Our Broker Dealer - Wealth Strategy Advisors
https://www.wealthstrategyadvisors.net/Our-Broker-Dealer.10.htm
Cambridge is among the top 10 independent broker-dealers based on revenue and ... Investment Advisor magazine, 2016, 2015, 2014, 2013, 2012, 2010, 2008, ...
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91 Independent Broker-Dealer, Prospera Financial Services ...
https://www.yahoo.com/lifestyle/independent-broker-dealer-prospera-financial-142100918.html
Independent Broker-Dealer, Prospera Financial Services, Named Finalist in Two ... a leading digital resource for financial advisors.
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92 The Top 10 SEC Enforcement Events of 2011 | WilmerHale
https://www.wilmerhale.com/insights/publications/the-top-10-sec-enforcement-events-of-2011-january-13-2012
Our assessment of the top ten SEC Enforcement events of 2011 is ... over fiscal year 2010) and 112 actions against broker-dealers (a sixty ...
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93 ATTORNEY GENERAL MADIGAN URGES SEC TO ...
https://illinoisattorneygeneral.gov/pressroom/2018_08/20180808.html
However, that standard falls short of requiring broker-dealers to act ... as part of the sweeping Dodd-Frank Act of 2010, Congress directed ...
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94 Fiduciary Obligations of Broker-Dealers and Investment Advisers
https://www.endowmentwm.com/wp-content/uploads/2013/04/Fiduciary-Obligations-of-Brokers-Dealers-and-Investment-Advisers.pdf
26, 2010), available at http://www.sec.gov/news/speech/2010/spch012610mls.htm (“[M]any investors we serve do not know the difference between an investment ...
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