broker-dealers

One of the study's conclusions was that broker-dealers should be subject to the same "fiduciary standard" as investment advisers.

The Sunlight Foundation: One Out of Every Ten Investment Advisers Disciplined The Sunlight Foundation 2011

While there is much overlap between investment advisers and broker-dealers -- an individual can be registered as both -- they are overseen by different entities.

The Sunlight Foundation: One Out of Every Ten Investment Advisers Disciplined The Sunlight Foundation 2011

She said the law that establishes procedures for liquidating broker-dealers does not give the trustee in each case the right to decide if and to what extent insurance from the Securities Investor Protection Corporation will be available to "innocent investors victimized by dishonest brokers."

Madoff trustee's loss calculation method upheld Reuters 2011

One of the study's conclusions was that broker-dealers should be subject to the same "fiduciary standard" as investment advisers.

The Sunlight Foundation: One Out of Every Ten Investment Advisers Disciplined The Sunlight Foundation 2011

But the legislation makes some crowd-funding sites—which have gone through the trouble and expense of registering as broker-dealers—uneasy.

Crowd-Funding Brings Unease Angus Loten 2011

He also argued the bill "would not be a big jump" because the SEC already regulates disclosures in the municipal market indirectly through the banks and broker-dealers that underwrite the securities.

SEC Could Gain Authority to Regulate Muni Disclosure Andrew Ackerman 2011

The Dallas-based company's core business lies in clearing trades in securities and derivatives contracts for broker-dealers serving individual investors, as well as high-frequency trading firms that need access to exchanges.

Director of Clearing Firm Penson Resigns Amid Collateral Disclosure Jacob Bunge 2011

The company had said in August that the SEC "appears" to be interested in transactions and relationships IMH has with the broker-dealers who sold their units.

Motto Comes Back to Haunt Anton Troianovski 2011

These are broker-dealers chosen by ETF providers to create and redeem shares, as opposed to buying shares on the secondary market.

When Your Adviser Is an ETF Newbie Ari I. Weinberg 2011

The Surge business model resembled that of the previous Madoff operation, paying broker-dealers to send stock orders to the firm.

Trading Firm, Built on Madoff Platform, Closes Doors Jacob Bunge 2011