Broker Dealer Investment Advice

Choosing A Financial Planner - How To Find A Financial ...
Charitable giving specialists, insurance agents, stockbrokers, money managers, investment consultants, broker-dealer and corporate iinternational network of independent financial advisors and planners offering hourly as-needed financial planning and advice. Previous. 1; 2; Next. Suggested ... Read Article

Z. JANE RILEY
Registered investment advisors are required to disclose all relevant facts registered broker-dealer that offers commission-based Ms. Riley does not provide financial-planning advice or sell commission-based products. She is paid for her duties as Chief Compliance Officer for The ... View Full Source

Investing In Canadian Securities Ben Johnson First Securities ...
And provide investment advice with respect to, the securities and derivatives (including options) thereof, broker-dealer or an investment adviser either with the U.S. Securities and Exchange Commission or with any state securities regulatory ... View Doc

Odeon Capital Group LLC Announces West Coast Expansion
Odeon Capital Group LLC , the New York-based independent fixed income Broker-Dealer with investment banking and research services, today announced the opening of its first ... Read News

Harmonizing The Overarching Wall Street Standard Of Care For ...
Tion of investment professionals who give advice. The broker-dealer and investment adviser indus-tries, as well as SEC Chairman Mary Schapiro, FINRA CEO Richard Ketchum, and many others, have called for the existing regulatory schemes to ... Content Retrieval

Study On Investment Advisers And Broker-Dealers - SIFMA
The broker, dealer, or investment adviser providing the advice. personalized investment advice about securities from a broker, dealer, or investment adviser, and (B) uses such advice primarily for personal, family or household purposes.‖ ... Get Doc

A Closer Look - PwC: Audit And Assurance, Consulting And Tax ...
Personalized investment advice and recommendations about securities to retail customers. This includes other interest of the broker, dealer, or investment adviser providing the advice. . . . [A]ny material conflicts of ... View Document

Alert Memo
Investment advice” as used under the Advisers Act. 2 . o. Retail Customers. The study recommends that the SEC define “retail customers” • The duty of loyalty would require that an investment adviser or broker-dealer provide ... Get Content Here

Subject: BROKER DEALER INVESTMENT ADVISOR EXCEPTION
BROKER-DEALER AGENTS OR INVESTMENT ADVISOR REPRESENTATIVES acting as by either of the following laws to render investment advice for compensation: 1. The Corporate Securities Law of 1968 (Division 1 (commencing with Section 25000) of Title ... Read Here

MOOTZ: Social Security Claiming Strategies
What is your "magic number"? Roughly half of retirees claim Social Security benefits at age 62, as soon as they become eligible ... Read News

Certain Broker-Dealers Deemed Not To Be Investment Advisers
Amount of broker-dealer investment advice. Indeed, to the contrary, statements by members of Congress during debate on the final version of the legislation indicate that those members saw the exceptions in section 202(a)(11) as broadly excepting investment ... View Full Source

The Standard Of Care For Investment Advice
Historically, broker-dealer firms could offer investment advice only if that advice was solely incidental to their broker-dealers who provide investment advice should be regulated . There is a reason that investment advisors are regulated differently ... Retrieve Doc

Fiduciary Status For Broker-Dealers - Reish & Reicher ...
Requiring that broker-dealers who provide investment advice about securities to investors have the same investment adviser and a broker-dealer providing “incidental advice” appear in all respects identical. In the retail context, the ... Fetch Full Source

#00800-Broker Dealer News
Broker-dealer. Accordingly, the advice that the broker-dealer provides must be non-discre-tionary advice. Discretionary accounts subject BROKER-DEALER NEWS “investment discretion” currently applicable to broker-dealers under the Exchange Act.10 ... View Full Source

Broker-Dealers As Fiduciaries?
Investment advice about securities regardless of whether they choose to work with an investment advisor or a BD.” At the same time, the study notes broker-dealer exclusion from the definition of investment advisor be eliminated.1 Today, ... Return Document

Financial Reform 101: For Broker-Dealers - Sutherland
Dealers who provide personalized investment advice to act in “the best interest of the customer” without regard to Thus, the act distinguishes a broker-dealer’s duty from an investment adviser’s continuing duties of care and loyalty. ... Read Full Source

How To Invest: Cash Flow Investing For Retirement - YouTube
This is based on the assumption that we move our investment capital into Any information shared on Stock Investing Simplified does not constitute financial advice. Stock Investing Simplified is not a registered investment advisor or broker-dealer and does not purport to tell ... View Video

SEC Study On The Fiduciary Duty Of Investment Advisers And ...
The SEC should consider minimum baseline standards for what basis a broker-dealer or investment adviser should have in making a recommendation to a retail customer. Personalized investment advice provided to retail customers should include both advice to a ... Fetch Doc

Study On Investment Advisers And Broker-Dealers
Investment advice about securities to retail customers that is consistent with the standard that currently applies to investment advisers. The recommendations also include the broker, dealer, or investment adviser providing the advice. ... Get Document

New Investment Adviser Rules - Morgan, Lewis & Bockius - An ...
Rule 202(a)(11)-1 Overview • “Special compensation” – Fee based brokerage exception • “Solely Incidental” – Advice by broker-dealer is ... Fetch This Document

Broker-Dealer Concepts - Proskauer Rose LLP
Published by the Broker-Dealer & Investment Management Regulation Group January 2012 Proskauer provides advice and counseling on how to register and commence operations as a broker-dealer or exchange, including an alternative trading system (ATS). ... Get Document

News Bulletin July 19, 2010 - Morrison Foerster
Investment advice in your clients’ best interests. You owe your clients a duty of undivided loyalty and utmost good faith. If a broker-dealer makes an attractive investment opportunity available to certain customers, but not to others ... Read Full Source

The New Retirement Plan Marketplace - A Broker-Dealer Guide ...
A Broker-Dealer Guide to ERISA Reform By: Jason C. Roberts, Esq. 1 AUGUST 28, 2011 render fiduciary investment advice at the plan and/or participant level, and non-fiduciary advisers can continue to sell additional products to and capture IRA rollovers from plan ... Fetch This Document

Rare & Gold Coin Investing - Rare Coin Dealers -Coin ...
Learn about coin collecting as an investment -- what types of coins to buy, and why, and how to avoid the costly mistakes that many new rare coin invesstors make. honest coin dealer? We invest a lot of money in our coins, so we want to get the best prices we can. ... Read Article

The Mutual Fund Store - Wikipedia, The Free Encyclopedia
The Mutual Fund Store provides investment advice to clients using actively managed no-load and load-waived mutual funds. in discretionary client assets under management among fee-only Registered Investment Advisers not doing business as a broker-dealer and not charging commissions. ... Read Article

The Merrill Rule: A Legal Perspective - Financial Services ...
Distinctions between broker-dealer and investment adviser activities continue to erode Regulatory clarity sought by broker-dealers SEC proposes rule to exempt broker-dealers in 1999 Modified rule adopted in April 2005 A broker-dealer providing investment advice to customers is excluded ... Get Document

Bank Of America Home Loans - Wikipedia, The Free Encyclopedia
The Capital Markets segment primarily operates as a registered securities broker dealer, chief investment officer; Andrew Gissinger, executive The Washington Post reported that Franklin Raines had "taken calls from Barack Obama's presidential campaign seeking his advice on mortgage and ... Read Article