Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SIPC Announces First Online Forum on Heels of Kanjorski Criticism
By Joyce HansonAs part of its efforts to modernize, the Securities Investor Protection Corp. will hold its first-ever online forum for investors who want to speak out about the SIPC's operations at 8 p.m. EDT on September 14 at www.SIPCModernization.org.
September 07, 2010
FCIC Heads West for Testimony in California, NevadaImpact of the recent crisis 'profound' for small communities.
September 07, 2010
SEC Charges Colorado Advisor With Fraud and Breach of Fiduciary DutyNeal Greenberg, an investment advisor based in Boulder, Colorado, was charged Tuesday, September 7, with fraud and the breach of fiduciary duty by the Securities and Exchange Commission (SEC).
September 07, 2010
Dow Jones Index: Third-Quarter Earnings Expected to Drop 1%Blue-chip companies are expected to earn slightly less than they did last quarter, but 27% more than they did a year ago, analysts say.
September 07, 2010
Adidas Agrees to Sponsor Major League Soccer for Four Years, $200 MillionAdidas, the German sports equipment maker, has agreed with Major League Soccer (MLS) of the U.S. to remain the official athletic sponsor and licensed product supplier to the league through 2018, Sports Business Journal reported.
September 07, 2010
SEC Chief Schapiro Talks About Market Structure, 'Flash Crash'SEC Chair Mary Schapiro spoke about "Strengthening Our Equity Market Structure" to The Economic Club of New York on Tuesday, September 7.
September 07, 2010
SEC to Launch Muni Markets Field Hearings on September 21Disclosure and transparency, credit ratings, and internal controls top the SEC's agenda for a series of nationwide field hearings to examine the municipal securities markets, starting in San Francisco on September 21.
September 07, 2010
Three things you should be tracking on your Web siteOne of the great things about marketing online is that almost everything can be tracked. E-mail campaign management programs and Web site analytics programs will quickly give you a mountain of data about your site.