Clearing Firms
July 17, 2011
How clearing and custody firms are taking new regs head-on
With the flood of new regulations facing investment advisers, clearing and custody firms are taking on a larger supporting role for their clients, doing everything from lobbying in Washington to the nitty-gritty task of preparing for new cost basis rules. At the top of the lobbying...
July 10, 2011
Finra to revamp market exams for broker-dealers
Finra will take a data-centric approach to performing market exams, pulling reams of information from broker-dealers, insurance companies and clearing firms. The initiative was announced last month by Richard G. Ketchum, chairman and chief executive of the Financial Industry...
June 12, 2011
B-D compliance burden growing, Pershing says
Pershing LLC, the industry's biggest player in clearing and the No. 4 firm in the RIA custody business, sees an opportunity in helping its clients deal with the regulatory tsunami. “We're trying to reduce the fixed cost of running a broker-dealer or advisory firm,” which includes...
June 2, 2011
Legent Clearing about to be bought?
Rumors are swirling that Legent Clearing LLC is about to be bought by private-equity investors — just months after a previous attempt to buy the firm failed.
May 29, 2011
RIAs: The struggle for advisory firms to maintain growth
RIA firms shouldn't expect the good times to last. After benefiting from strong equity markets in 2009 and 2010, registered investment advisory firms will be battling head winds for the next few years as they seek further growth, observers predict
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