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Documents tagged with brokerage

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KBSL_Brokerage Sector Result Update

  • Pdf_16x16 5 pages
  • sonthaliarahul published this 11/02/2009
  • 41 reads
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Derivatives, Capital Markets, Energy, Financial Markets Consultant resume

  • Word_16x16 8 pages
  • DerivativesTradingDesk published this 09/05/2009
  • 1,175 reads
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Strengthening Safeguards for Investor Funds Controlled by Registered Investment Advisors

On May 14, 2009 the U.S. Securities and Exchange Commission proposed rule amendments to strengthen safeguards on investor funds controlled by investment advisers. On September 2, 2009 I submitted a...
  • Word_16x16 1 page
  • Bill George published this 09/02/2009
  • 119 reads
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Social Media Marketing System for Brokerages

Domus Consulting Group's online Social Media Marketing tutorials are available to real estate brokerages and institutions by subscription. We provide a cost effective solution to social media training
  • Powerpoint_16x16 20 pages
  • pkitano published this 08/25/2009
  • 75 reads
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Soft Dollars Defined

On May 1, 1975 U.S. securities regulators implemented a mandate banning fixed securities brokerage commissions and mandating that institutional investment advisors fully-negotiate brokerage commiss...
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  • Bill George published this 08/10/2009
  • 187 reads
  • 0 comments
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Raising Money Smart Teens

Do you have a teen that believes money grows on trees? Do they always want to "borrow a $20"? Do they buy things they don't need? They always want more and they want you to pay for it, right? ...
  • Word_16x16 36 pages
  • Traverse Bay Farms / Fruit Advantage published this 06/27/2009
  • 485 reads
  • 0 comments
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The Sales Wheel and 33 Priceless Maxims

A useful sales handbook with helpful tips for any professional salesperson from an experienced source.
  • Word_16x16 10 pages
  • blodmell published this 05/19/2009
  • 331 reads
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Rajkot N-equity Quotation

market,broker,brokerage,comtek,backoffice,demat,holding,bill,charges,STT,stamp duty, remizer,sauda entry, closing rate,nse,bse,FO,mcx,ncdex,trade file import, single code trading,ledger,open positi...
  • Word_16x16 3 pages
  • anilravrani published this 05/15/2009
  • 257 reads
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Compass Financial - LPL Financial Stability - March 2009

LPL's Chief Financial Officer, Robert J Moore, assures clients about the financial stability of the company. He also provides information about LPL's business model, financial position, the steps ...
  • Word_16x16 2 pages
  • compassfinancial published this 03/19/2009
  • 1,163 reads
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Quantitative and Qualitative Disclosures about Derivatives and Risk Management Activities

Energy Derivatives Survey of Energy, Utility and Power companies Annual Report (Form 10-K) Quantitative and Qualitative Disclosures about Derivatives and Risk Management Activities FAS 133 a...
  • Word_16x16 4 pages
  • DerivativesTradingDesk published this 03/09/2009
  • 4,211 reads
  • 1 comment
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Commission Calculations

A calculator to show how much someone would make at River City Real Estate compared with other brokerages in the St. Louis area.
  • Excel_16x16 2 pages
  • RCREonline published this 01/28/2009
  • 300 reads
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1993 Da Ja Vu

Edward "Ted" Siedle, a former SEC lawyer, long ago took-up the cause of trying to protect institutional investors. Mr. Siedle operates an investment consulting firm called Benchmark Associates, he ...
  • Pdf_16x16 4 pages
  • Bill George published this 01/01/2009
  • 207 reads
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Reply To Arthur Levitt

On December 15, 2008 I distributed an email discussing some of what I believe are incorrect opinions relating to Client Commission Arrangements. On December 16, I received an email from past Chairm...
  • Pdf_16x16 2 pages
  • Bill George published this 01/01/2009
  • 382 reads
  • 0 comments
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SEC Proposed Guidance S7-22-08 Comment C

This is a Comment Letter filed with the SEC on September 5, 2008 and commenting on the SEC's Proposed Guidance on the Duties and Responsibilities of Investment Company Boards of Directors With Resp...
  • Pdf_16x16 1 page
  • Bill George published this 09/07/2008
  • 303 reads
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Client Commission Arrangements Go Global?

A recent Traders Magazine article describes the popularity of Client Commission Arrangements (CCA's and compares them to the Commission Sharing Arrangements (CSA's) used in foreign jurisdictions. T...
  • Pdf_16x16 2 pages
  • Bill George published this 08/14/2008
  • 1,094 reads
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Public Comment on SEC Guidance S7-22-08

This document is my comment letter on the recently released proposed "Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors with Respect to Investm...
  • Pdf_16x16 2 pages
  • Bill George published this 08/08/2008
  • 429 reads
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Some Problems With Client Commission Arrangements

This document discusses two of the more problematic issues relating to fiduciary investment advisors' use of their institutional clients' brokerage commissions to purchase unidentified products and...
  • Pdf_16x16 1 page
  • Bill George published this 07/25/2008
  • 319 reads
  • 0 comments
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My Broker Made Me Do It . . .

This article discuses a survey and study of compliance officers at institutional investment advisory firms. The article highlights the significant level of misunderstanding of what soft dollars are...
  • Pdf_16x16 2 pages
  • Bill George published this 07/16/2008
  • 246 reads
  • 0 comments
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The Road Not Taken

This document discusses the Securities and Exchange Commission's comments on the importance of the full-disclosure of brokerage commission payments for all institutional investment brokerage arrang...
  • Word_16x16 2 pages
  • Bill George published this 03/28/2008
  • 1,468 reads
  • 2 comments
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FormADVComment030808

This document is a Comment Letter offering comment on an SEC Proposal to amend the method of submisssion, the content and the structure of Form ADV. Form ADV is an SEC required disclosure document ...
  • Word_16x16 3 pages
  • Bill George published this 03/08/2008
  • 148 reads
  • 0 comments
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