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The current regulatory environment leaves financial and securities market participants vulnerable to a wide range of complicated broker-dealer investigations, enforcement actions and regulatory compliance issues," said Paul Ficca, Global Leader of the Forensic & Litigation Consulting segment at FTI Consulting.
In this role, he focused on matters involving the broker-dealer businesses, including institutional trading, investment banking, research and retail organizations.
The annual Broker-Dealer of the Year award is based on voting in 15 different categories.
Investment Advisor, a publication of Summit Business Media, offers information and analysis on wealth management, retirement planning, investment strategies, practice management, compliance and regulatory issues, and insurance and tax planning, all designed to help registered investment advisors and independent broker-dealer representatives become more successful.
The broker-dealer provisions under NYTL section 210.3(a)(9) permitted a registered securities or commodities broker or dealer to use unique customer-based sourcing rules for allocating specific categories of receipts, including brokerage commissions, margin interest, certain underwriting revenues, interest on certain loans to affiliated entities, account maintenance fees, and fees for management and advisory services.
For the broker-dealer provisions to be applicable, the statute requires the taxpayer to be a registered securities or commodities broker-dealer, as defined to mean a broker or dealer registered as such by the Securities and Exchange Commission (SEC) or the Commodities Futures Trading Commission (CFTC).
* broker-dealers to continue to receive bundled commissions.
advisors and broker-dealers, who will not have to change business practices as a result of MiFID II, the bigger question is how long European regulators will allow U.S.
According to Cerulli, small broker-dealers face the greatest financial risk under the Labor Department fiduciary rule.
Firms that get votes from at least 10% of their producing reps are in the running for Broker-Dealer of the Year.
The Cerulli report warns that life insurance broker-dealers face the greatest fiduciary risk among all BDs because of their higher use of commission-based compensation and proprietary products.
even shocking, in the federal regulation of broker-dealers. The history