Tags » Broker-Dealer

PwC explains New Margin Rule for Broker-Dealers in To-Be-Announced Transactions

On August 15, the Financial Industry Regulatory Authority (FINRA) issued a regulatory notice adopting a requirement that U.S. registered broker-dealers collect margin on To-Be-Announced (TBA) transactions (FINRA Rule 4210). 1,972 more words

Securities Regulation

REG A+ : The new IPO

This is a new and in some cases far better way to conduct a full S-1 IPO to list on the NASAQ or the NYSE. 374 more words

Hot Candidates! Financial Services Exp. Temp and Perm - JRodriguez@cfstaffing.com

Recently I have interviewed a number of highly qualified individuals, both on the permanent and temporary side, that I wanted to bring to your attention. CFS does work across industries and these candidates have specific experience in various financial services firms. 454 more words

Work

Micro broker dealers

Out of the 4,380 broker dealers. About 3,100 broker dealers have 150 or fewer financial advisors (71%), 2,650 have fewer than 25 representatives(61%) (micro broker dealers) and 450 have between 25 to 150 representatives. 398 more words

Independent Broker Dealer

Independent contractor

Going independent has its advantages if you are ready to take the challenge.  Running your own business takes a certain initiative and provides many challenges that will be very rewarding.  508 more words

Independent Broker Dealer

Professional Broker dealer

Shawn K. Smith is the Principal of Financial Advisor Placement Services and  founded it in 2009.  Shawn has 22 years of investment industry experience and has worked directly with Financial Advisors during this time.  339 more words

Independent Broker Dealer