Then there was the fact that Sky Capital actually looked like a brokerage firm.
What is left is a brokerage firm in business to serve investors, not underwriting clients.
This "spread" is also assessed when investors trade foreign currencies through a brokerage firm.
First, the data comes from a brokerage firm whose business is to encourage trading.
If a brokerage firm isn't on the site, you can suggest it in a feedback box.
Previously, I worked at a brokerage firm in sales where we helped businesses acquire capital.
Just the sort of thing a brokerage firm could do to create a structured note like Merrill's.
Evans began his career as a securities analyst and trader before starting a brokerage firm in 1980.
So, say, a brokerage firm could make their investment on the appliance back in no time at all.
But they are insured in the unlikely event that securities held by a brokerage firm are lost or stolen.
This is one of the most egregious things a brokerage firm can do.
If you're investing through a brokerage firm that offers commission-free trades on some ETFs, your cheapest option may be ETFs.
Consequently, the issue in this FINRA AWC is not the seemingly arcane concern of a brokerage firm selling itself to a stockbroker.
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This could add another 60 to 100 basis points to your tab, which would make it comparable to a brokerage firm's price tag.
"There was just an avalanche of stop-loss selling, " said Steve Murton, head of precious metals at Triland Metals, a brokerage firm in London.
When you run a business at this level of scale as a brokerage firm, you have to clear and settle every trade yourself.
"They're definitely taking action to insulate themselves if prices go down, " said Jack Scoville, vice president of Price Futures Group, a brokerage firm.
The theory behind this practice is that a brokerage firm invests its time and money training raw globs of clay into becoming high-powered, professional stockbrokers.
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As the owner of a brokerage firm, I am licensed as a general securities representative, general securities principal, municipal securities principal and financial and operations principal.
Sharmila Whelan, an economist at CLSA, a brokerage firm, forecasts that India's current-account deficit will rise to almost 4% of GDP in the current fiscal year, and to 5.5% next year.
This book will allow investors to determine, before they invest with a brokerage firm, whether that firm has violated any laws or regulations and how many times they have been sued in arbitration.
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When a gatekeeper is an arm of a brokerage firm, she says, there's an additional problem: The temptation is to favor money management firms that turn over their portfolios rapidly and throw trades to the broker.
In 1999 I moved to Florida to start another hedge fund and opened a brokerage firm catering to big traders and institutions looking for direct access trading of their high frequency algorithms, which is what my funds specialized in.
Tiring of the Big Apple, Gilani moved to Florida in 1999 and started another hedge fund and opened a brokerage firm focused on direct access trading of what would soon morph into high frequency algorithms, many of which he designed and still uses.
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Fidelity Investments came up with the idea that a charitable pool can be offered by a brokerage firm as a convenience to people who have appreciated stock in a street name. (Its offering has been copycatted by Vanguard, Schwab and others.) But the notion of donor-advised funds is an old one, going back to the Grand Rapids Foundation and other community foundations.
As an owner of a small regional brokerage firm I can report from the front lines that a primary driver of the demise of the local brokerage firm is a lack of economies of scale to remain competitive.
If one person offers investment advice and buys and sells securities for others, the regulation on that person should not be different depending on whether that person is employed by a bank, a stock brokerage firm, an insurance company or is a self-employed registered investment adviser.
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