Tags » Broker-Dealer

Independent Broker Dealers No Minimum Productions

Shawn K. Smith is the Principal of Financial Advisor Placement Services and  founded it in 2009.  Shawn has 23 years of investment industry experience and has worked directly with Financial Advisors during this time.  473 more words

Broker Dealers

Independent Broker Definition Part - 1

We work closely with many broker dealers, where we know the key decision makers well.  We will familiarize you with these firms so that you can understand their culture, products, platforms, and introduce you to their key executives.  538 more words

Broker Dealers

Corp Fin OKs technical modification of process for offers and sales in IPOs

by Cydney Posner

In a new no-action letter to Morgan Stanley, Corp Fin agreed that, as outlined in the request letter, the firm’s proposed procedures for offering and selling securities in IPOs would not involve a pre-effective sale for purposes of Section 5(a) of the Securities Act. 412 more words


Now Hiring: Accounting Manager with SEC Filing Experience in New York City

Top-tier Financial Institution that focuses on electronic trading is seeking an Accounting Manager to join their firm.

The primary responsibilities of the Accounting Manager will be taking ownership of financial reporting function. 333 more words


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