Posts tagged as:

registered rep

RegisteredRep goes all Seeking Alpha (kinda)

by Zack Miller on February 22, 2011

In a move that takes the brokerage industry out of the 1980s (yeah, cool parachute pants), industry trade mag, Registered Rep announced a new push to aggregate some user-generated content on its flagship website, RegisteredRep.com. I’m going to stop short and announce that this isn’t a direct threat to Seeking Alpha, the leading financial content [...]

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FINRA, broker regulator, gets serious about social media

by on January 26, 2010

A sign that use of social media has become truly widespread, FINRA, the Financial Industry Regulatory Authority and the largest non-governmental regulator for all securities firms doing business in the United States, issued some interesting new guidance to stock brokers intending to use Facebook and Twitter. In Regulatory Notice 10-06 issued yesterday, the industry regulator [...]

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Brokerage business: it’s certainly not football

by on September 2, 2009

Mary Schapiro’s SEC is taking aim at all the craziness going on in the brokerage business.  Brokers are madly switching firms and getting paid to do so.  Bonuses are flowing like water for both big and midsize practices. It’s with this backdrop that the SEC wants to put a damper on the all the partying.  [...]

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