Broker-Dealers

An RIA reports hassles galore in trying to purchase bonds from the state of Israel for a client. The scenario: A client wishes to buy ...

The SEC need not wait for Congress to act to reform the "patchwork quilt" of regulatory rules governing investment advisers and broker-dealers, according to Commissioner ...

Much resides on the plate of the SEC but here's another sign that the whole issue of harmonizing investment adviser and broker-dealer regulation is heating ...

It appears more likely that whatever regulatory reform package emerges from Congress that it may well erase the distinctions between IAs and broker-dealers.Last Thursday the ...

Future financial debacles could be avoided if Congress creates a "systemic risk regulator" and combines the SEC and the CFTC into a new "capital markets ...

More than 13,000 names make up the list of supposed clients of Bernie Madoff, including several registered investment advisers.Many tell IA Week it's because they ...

This is a rule governing short selling around a public offering

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