Tags » Broker-Dealer

Why Can’t I Deposit my Shares?

Issues Facing Small Cap Issuers

As the market operator where thousands of small and micro-cap securities trade, we occasionally hear from issuers and their investors who are frustrated when brokers won’t deposit their stock. 895 more words


SEC Examination Priorities for 2018

Today February 7, 2018, the SEC released its Examination Priorities for 2018. Their focus this year is the retail investor. Prior areas of focus have been subcategorized under the larger retail market. 203 more words


Mobile Paint Protection Differences between car wax, paint sealant, andpaint protection coating

All that glitters: The importance of car paint protection

Taking care of your vehicle does not include checking up the engine at the mechanic, or changing the tires only; but, rather an array of activities to keep your wheeled pet operating properly and looking sharp. 544 more words

Car Paint Protection Brisbane

Advisor Financing LLC., Financial Advisor Loans Designed To Fuel Your Growth

Securing financing for any business acquisition can be a daunting task. It doesn’t matter what industry you are in or for what purpose the funds will be used for.

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I Was Wrong, and I Apologize

Thirty-some years since I first became registered to work with securities, we have been doing business with some people for decades. Some of those, I knew before that—friends, people I admire. 474 more words

Mark Leibman

Meeting with a Financial Advisor 

Matt and I have a friend, Michael, who is a Financial Advisor. I’d recently contacted him for information on a college savings plan, a 529, for our baby. 369 more words


Types of Broker-Dealers

There are many types of Broker-Dealers:

  • Clearing Broker-Dealer – This type compares and clears its client’s trades and its own trades against other broker dealers. Eg: DTTC…
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