Broker-Dealers

And on a percentage change basis, the ETF with the largest outflow was the iShares Dow Jones US Broker-Dealers Index Fund , which lost 450,000 of its shares, for a 15.3% decline in outstanding shares.

EFA, IAI: Big ETF Outflows 2011

Fees for Broker-Dealers Large U.S. broker-dealers could be required to pay $1 million or more annually for costs related to audits required by the Dodd-Frank Act, if a proposal by the nation ' s overseer of public company audits becomes effective.

Financial Briefing Book: Dec. 15 2010

The most notable emphasis has been on increased actions against Broker-Dealers (from 11 to 34) and Investment Advisers (from 9 to 16).

Peter Schwartz: The SEC Takes Off Its Gloves, Sort Of 2009

NYSE Technologies offers a diverse array of products, services and solutions to: the Buy Side, including order routing, liquidity discovery and access to a community of over 630 Broker-Dealers and execution destinations globally; the Sell Side, including high performance, end-to-end messaging software and innovative market data products delivered on the world's largest, most reliable financial transaction network; and Market Venues and Exchanges, including multi-asset exchange platform services, managed services and expert consultancy.

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* Fee Would Cover Banks and Thrifts, Insurance and Other Companies That Own Insured Depository Institutions, and Broker-Dealers: Covered institutions would include firms that were insured depository institutions, bank holding companies, thrift holding companies, insurance or other companies that owned insured depository institutions, or securities broker-dealers as of January 14, 2010, or that become one of these types of firms after January 14, 2010..

All American Patriots: Politics, economy, health, environment, energy and technology - Dispatches from the depths of U.S. government 2010

* Fee Would Cover Banks and Thrifts, Insurance and Other Companies That Own Insured Depository Institutions, and Broker-Dealers: Covered institutions would include firms that were insured depository institutions, bank holding companies, thrift holding companies, insurance or other companies that owned insured depository institutions, or securities broker-dealers as of January 14, 2010, or that become one of these types of firms after January 14, 2010..

All American Patriots: Politics, economy, health, environment, energy and technology - Dispatches from the depths of U.S. government 2010

Yet, when tester calls you on it, Broker-Dealers aren't always so bad.

Las Vegas Sun Stories: All Sun Headlines 2010

But in fairness the big Broker-Dealers in the US are RARELY indicted for anything.

PLIGG_Visual_Name - PLIGG_Visual_RSS_All 2010

But in fairness the big Broker-Dealers in the US are RARELY indicted for anything.

PLIGG_Visual_Name - PLIGG_Visual_RSS_All 2010

Broker-Dealers, Investment Advisers, Banking regulatory ...

Yahoo! Answers: Latest Questions 2009