On October 29, 2014, FINRA Executive Vice President Susan F. Axelrod discussed new and emerging complex products. Underlying Vice President Axelrod’s speech was a concern for the amount of risk being taken on by firms in search of higher yields. 353 more words
Tags » Broker-Dealer
The East Coast External Mutual Fund Wholesaler is responsible for new business development through all channels (independent, broker-dealer and RIA). He/she will be responsible for marketing a suite of fixed income and global asset allocation funds. 255 more words
FINRA issued a regulatory notice regarding BD and IA renewals for 2015. The program begins on November 10, 2014, when FINRA makes online Preliminary Renewal Statements available to all firms on Web CRD/IARD. 91 more words
Seed Equity Ventures is a registered broker dealer, providing a social equity investing platform for Startups ...
Seed Equity Ventures is a registered broker dealer, providing a social equity investing platform for Startups http://www.40billion.com/company/699930145 *ad