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The Motley Fool
March 24, 2005
Karl Thiel |
The Naked Truth on Illegal Shorting Is the illegal practice of naked short selling destroying your investment?   |
Investment Advisor
May 2007 |
The Original SEC Rule The Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor even when they were being paid fees for investment advice. |
The Motley Fool
November 18, 2005
Roy Lewis |
Tax Your Shorts When you sell stocks short, don't forget to give the IRS its cut. |
The Motley Fool
July 21, 2006
Roy Lewis |
Tax Your Shorts Before you short a stock, know the tax rules involved. |
The Motley Fool
August 30, 2007
Selena Maranjian |
A Better Way to Check Your Broker? A former SEC guy is aiming to help you steer clear of ne'er-do-wells. Meanwhile, make sure that the brokerage you're using is best for your needs. Odds are, you can find a better brokerage that charges you less or offers more services. |
The Motley Fool
May 28, 2004
Roy Lewis |
Shorting Stocks: Tax Aspects When taxes complicate a simple short sale, you'll need a few clear guidelines. |
The Motley Fool
March 5, 2004
Selena Maranjian |
What Stockbrokers Really Do Brokers are agents who take and fill your orders to buy and sell stocks and other securities. A former broker revealed to us how he was trained and under what conditions brokers often work. |
BusinessWeek
April 11, 2005
Toddi Gutner |
Broker Or Adviser? Be forewarned: If yours is employed by a brokerage, your interests come second |
The Motley Fool
March 30, 2005
Karl Thiel |
Who's Behind Naked Shorting? In search of culprits in the practice of illegal short selling of stocks. |
The Motley Fool
March 15, 2004
Dayana Yochim |
Should You Borrow to Buy Stocks? When you buy on margin, you simply borrow money from your broker to buy stock, using the cash and securities in your account as collateral for a line of credit. |
The Motley Fool
March 30, 2010
Dan Caplinger |
The Best Way to Buy Stocks Is one broker really that much better than another? |
The Motley Fool
July 18, 2007
Selena Maranjian |
Check Out Your Broker Finding the perfect broker to whom you would entrust your hard-earned money is difficult. "BrokerCheck," a new online tool from NASD, makes it easier to weed out the unscrupulous ones. |
The Motley Fool
October 25, 2007
Dan Caplinger |
Brokers for Expert Investors Have you outgrown your brokerage account? When you're just getting started with investing, comparing brokerage firms is pretty easy. But when you go beyond the basics, you need a broker who provides more. |
The Motley Fool
October 14, 2009
Dan Caplinger |
The Best Investment You'll Ever Make Stop wasting money and take control of your finances; put your money into a discount brokerage account. |
The Motley Fool
May 20, 2004
Tim Beyers |
American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest? |
Registered Rep.
September 21, 2007
Halah Touryalai |
Banks Officially Welcomed into the Brokerage World Under New SEC Rule It only took eight years, but the SEC and the Board of Governors of the Federal Reserve System passed final rules defining how banks can act as securities brokers. |
The Motley Fool
March 26, 2004
Rick Aristotle Munarriz |
Coup d'E*Trade Online broker goes for speedy executions and finds itself on the fast track. |
Investment Advisor
February 2008
Melanie Waddell |
A Groundbreaker SEC's Rand report, of the broker/dealer and investment advisory industries will dominate the discussion among brokers and advisors in 2008. |
Registered Rep.
February 2, 2006
Kristen French |
Brokers Learning to Play by New Rules It's no longer business as usual on Wall Street. Starting yesterday, broker/dealers must follow a new SEC rule that requires them to disclose at certain times that they may not be acting in their clients' best interest. |
The Motley Fool
October 13, 2004
Selena Maranjian |
Short Answers on Shorting Put "buy low, sell high" in reverse -- and you're shorting stock. |
Registered Rep.
December 1, 2004
John Churchill |
If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption rule. |
The Motley Fool
August 18, 2006
Brendan Mathews |
Pegasus Squeezes the Shorts Although the stock of this wireless company is overvalued and overhyped based on the fundamental value of the business, investors might not want to have a short position at this point. |
Registered Rep.
December 1, 2004
Mindy Diamond |
Packing the Parachute Success in the brokerage industry can be as much about mindset as anything else, so it comes as little surprise that advisors avoid negative thoughts, such as the potential necessity of a quick exit from their practice. |
The Motley Fool
November 17, 2004
Dayana Yochim |
Should You Use Margin? Before you get a loaner to buy stocks, consider the consequences if your position should fall flat. |
The Motley Fool
March 21, 2007
S.J. Caplan |
Check Out Your Broker A redesigned website tells you what you need to know before you invest. |
CFO
March 1, 2010
David M. Katz |
Is Your Broker Mediocre? It may be a buyer's market, but choosing the best broker is far from easy. |
The Motley Fool
March 17, 2009
Dan Caplinger |
A Surprising Way to Improve Your Investing When you're looking for a doctor or a lawyer, you focus not just on professional qualifications and expertise, but you also want someone who will fit well with your personality. The same holds true with picking a broker. |
Registered Rep.
August 29, 2006
Kristen French |
Pru Agrees to $600 Million Market-Timing Settlement Prudential Equity Group admitted to criminal wrongdoing in connection with the market-timing practices of a number of its brokers between 1999 and June, 2003. |
Investment Advisor
June 2009
Russ Diachok |
Coming to an RIA Near You One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers. |
Wall Street & Technology
March 22, 2005
Ivy Schmerken |
Black-Box Trading Raises Risk As black-box trading increases, hedge funds are executing orders at a rapid pace by drawing on their credit relationships with prime brokers. |
Registered Rep.
October 1, 2004
Will Leitch |
Bank Shots For the first time in a year-and-a-half, quarter-over-quarter revenue at bank-owned broker/dealers dropped, by 18 percent, according to a Bank Insurance & Securities Association's (BISA) report on the second quarter of 2004. |
InternetNews
March 9, 2007
Clint Boulton |
SEC Cracking Down on Spam 'Pump and Dump' The SEC has suspended securities trading of 35 companies as part of a new crackdown on market manipulation via spam. |
The Motley Fool
January 21, 2004
Selena Maranjian |
The Short Story Should you try to profit when stocks fall? |
Investment Advisor
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
Registered Rep.
May 28, 2010
Jake Zamansky |
Wall Street Will (Again) Kill The Passage of a Fiduciary Standard While the House financial reform bill includes a fiduciary standard for brokers in limited circumstances, I'm fairly certain history will repeat itself and the provision will mysteriously and entirely disappear when the House and Senate reconcile their respective bills. |
Registered Rep.
November 30, 2005
Kristen French |
Wachovia Shaves Payout, Levels Charges on In-House and Outside SMAs After simplifying it's payout structure earlier this year, Wachovia Securities announced that it would make some more tweaks in 2006 and raise ticket charges on some in-house money-management products to match those of third-party products. |
Investment Advisor
April 2010
Melanie Waddell |
Retirement Planning: New Advice Rules Favor RIAs With the new rules brokers would charge a level fee, and couldn't give 'off-model' computer advice. |
Registered Rep.
January 1, 2005
Mindy Diamond |
A Clean Escape, With an Accomplice Brokers tempted to leap at a lucrative job at another firm are often held back by inertia, but in increasing numbers they are finding the powerful force they need to get moving: hungry branch managers. |
Registered Rep.
October 1, 2002
David A. Geracioti |
Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have? |
Registered Rep.
December 14, 2005
David A. Geracioti |
NYSE Regulators to Member Firms and Reps: We Are Watching You Broker/dealers had a very strong 2005. But so too did the regulators. |
The Motley Fool
September 9, 2011
Dan Caplinger |
What You Really Need From Your Broker Don't obsess about the wrong things. Stick with what's important. |
Investment Advisor
June 2008
Melanie Waddell |
A Long, Hot Regulatory Summer Rules from the SEC on credit ratings agencies, 12b-1, soft dollars, and hedge funds |
The Motley Fool
March 22, 2011
Dan Caplinger |
This Will Make You a Smarter Investor There's more to smart money management than just picking great stocks. Increasingly, it's becoming just as important to find the right discount broker to give you the best and least expensive access to the investments you want. |
On Wall Street
June 1, 2010
Mark Astarita |
Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship. |
The Motley Fool
October 27, 2009
Dan Caplinger |
How You Can Become the Next Super-Investor Get the tools you need to succeed with your investments. |
Investment Advisor
September 2010
Melanie Waddell |
The Playing Field: The Dodd-Frank Reform Bill Afterlife A fiduciary standard for all may crimp RIAs' competitive edge. |
Registered Rep.
November 1, 2002
David A. Gaffen |
Requiem for the $250K Broker Until recently, brokers were immune to the industry's downsizing, which has included a decimation of the ranks of investment bankers and the elimination of thousands of support positions. Brokers, it was assumed, covered their own costs by generating commissions and fees. Not anymore. |
The Motley Fool
May 25, 2010
Dan Caplinger |
Be the Best Investor You Can Be The right broker can make all the difference. |
The Motley Fool
June 30, 2006
Roy Lewis |
The Cost Basis Crisis The IRS and taxpayers struggle with one of the peskiest aspects of stock sales. Will a change in the rules require your broker to reconstruct your portfolio with respect to cost basis? |
The Motley Fool
August 5, 2005 |
A Buyer Broker Can Help You Not all real estate brokers have your best interest at heart -- be choosy. |
