 Press Release Distribution |
 |
Filter News Show All ResultsNews By Country
News By Tag Broker Dealer  Related Tags 17a-4
Aml Asset Management Darin Manis Executive Search Financial Advisor Financial Advisor Job Financial Services Hennion And Walsh Hennion Walsh Investment Merrill Lynch New Broker Dealer R J Makay Recruiter Recruiting Richard Hennion Sec Technology Wrap
| broker dealer News+ XML/RSSBy AdvisorVault.org FINRA’s data compliance audit process is complex for small firms but understanding SEC rule 17a-4 Books and Records Retention and Archiving requirements is the key to success. By Strategic Insight ETFs have slowly been gaining market share in National Broker Dealer wrap programs, but their growth has matched the growth rate of mutual funds in wraps -- due in part to some of the heaviest ETF users in these wraps shifting back to mutual funds. By Offit Kurman Fast growing Offit Kurman continues to enhance its Commercial Litigation Practice with the addition of William S. Heyman. By AdvisorVault AdvisorVault, the only remote backup provider designated to small financial firms now protects customer data in the cloud. Members of FINRA and the SEC can now meet all the long-term retention and supervisory rules contained in 17a-3 and 17a-4. By AdvisorVault.org Securities firms using Laserfiche as their document management solution face challenges properly protecting the data associated with this program. Broker-dealer firms, for example, must incorporate rules 17a-4 and the D3P into their backup strategy By Summit Brokerage Services The following advisors have recently joined Summit Brokerage Services, the #1 Boutique Broker-Dealer in the Country for the second year in a row. By Trade Wall Street Financial Trade Wall Street Financial, LLC, an internationally focused broker serving investor clients in over 50 countries, has opened an office in (Greenpoint) Brooklyn, New York. By NEXT Financial Group Gregory Matthews Named FIVE STAR Wealth Manager For Highest Overall Satisfaction By NEXT Financial Group Diamond A Financial Services is excited to announce that Dan Anderson, LUTCF has been chosen to receive the prestigious FIVE STAR award. By FirstSouthwest Veteran Denver municipal bond trader Dennis Marlin hired to lead sales. By Summit Brokerage Services, Inc The following advisors have recently joined the Summit Brokerage Services family. By Managing Director The State of Michigan Department of Financial and Insurance Regulation has issued the second day of October 2009 a Broker-Dealer Registration to Annacore Business Captial. By TWS Financial, LLC Trade Wall Street Financial anticipates growth ahead in 2010 By SightSpan Inc. SightSpan™ CEO John Walsh and the entire management team are pleased to announce the expansion of the SightSpan™ United States footprint into New York. By Summit Brokerage Services The following advisors have joined Summit Brokerage Services By Scott Fitzpatrick Robeco Investment Management Selects Bonaire’s REVPORT™ Revenue Management and Fee Billing Platform By Richter10.2 Media Group LLC / Jeannine Dowdell Hennion & Walsh hires two new Regional Vice Presidents for their SmartGrowth® Family of mutual funds. By Richter10.2 Media Group/ Jeannine Dowdell Hennion & Walsh a securities and asset management firm, provides actionable advice to address mounting investor concerns with three key steps to take. By RJ & Makay A “Billion Dollar Video” series from financial services recruiter RJ and Makay is on pace to recruit away more than a billion dollars in assets from brokerage firms in the 4th quarter this year. By Investigo Colorado-based CapWest Securities Inc. has chosen Investigo for their practice management system. By Cory Wolf/Hedge Fund Solutions Hedge Fund Solutions (HFS) and Risk Management Solutions (RMS) announced today they are partnering together in order to feature comprehensive background investigations as part of HFS’s services to their clients. | ||||||||||||||||||||||
Like PRLog?
2.8K1.1K1.1K