Wolters Kluwer, FundQuest & DTCC

A new search service is available for comparative and cross-archive regulatory research.
MAR 28, 2008
By  Bloomberg
New regulatory search service available for comparative and cross-archive research Wolters Kluwer Financial Services this week announced availability of the Rule Archives library offered online through both CCH Wall Street’s Compliance Resource Network and its own Law & Business’ Internet Research NetWork. The archives are meant to simplify the regulatory research process for compliance and legal professionals that search through and compare historical rules dating back seven years from Finra, the former NASD, NYSE, American Stock Exchange and NYSE Arca. Pricing starts at $500 per year, but depends on the number of users and rulebooks subscribed to. Subscribers can conduct keyword searches across multiple rulebooks and can choose which rulebooks they want the search to apply to. There is also an advanced search option that targets the major rulebooks by year. For more information visit CCH Wall Street. Schwab Institutional providing its affiliated RIAs new managed account platforms through FundQuest Institutional SpectrumSM, a newly launched managed accounts platform from FundQuest is now available to independent registered investment advisors (RIAs) working with Schwab Institutional. The platform includes account maintenance, back office operational services, consolidated quarterly reporting, open-architecture investment due diligence tools, and proposal preparation tools — all with built-in connectivity to Schwab Institutional’s clearing and custody services. Eight different managed account options are available including Advisor Managed Accounts (mutual funds, ETFs, SMAs, general securities), FundQuest Unified Managed Accounts, FundQuest Separately Managed Account models, FundQuest Mutual Fund models, FundQuest Index Enhanced Portfolios, FundQuest Income Portfolios, Russell Mutual Fund Model Strategies, and Russell LifePoints Funds. For more information visit Fundquest. DTCC clears and settles $1.8 quadrillion in transactions Yes, you read that right. $1.8 quadrillion represents the value of securities transactions cleared and settled by the Depository Trust & Clearing Corporation in 2007. Among the other 2007 statistics announced by the U.S. equity clearing house earlier this week were record revenues of $1.69 billion and the return of $984 million to its customers in the form of discounts and rebates. Mutual fund activity processed through Fund/SERV jumped to an average of 676,000 transactions a day, up 19% (total dollar value of those transactions rose to $2.5 trillion in). Insurance Services saw the volume of transactions settled increase by 18%to 63.1 million (that’s $20.8 billion for 2007). For many more self-congratulatory statistics visit the DTCC online.

Latest News

The 2025 InvestmentNews Awards Excellence Awardees revealed
The 2025 InvestmentNews Awards Excellence Awardees revealed

From outstanding individuals to innovative organizations, find out who made the final shortlist for top honors at the IN awards, now in its second year.

Top RIA Cresset warns of 'inevitable' recession amid tariff uncertainty
Top RIA Cresset warns of 'inevitable' recession amid tariff uncertainty

Cresset's Susie Cranston is expecting an economic recession, but says her $65 billion RIA sees "great opportunity" to keep investing in a down market.

Edward Jones joins the crowd to sell more alternative investments
Edward Jones joins the crowd to sell more alternative investments

“There’s a big pull to alternative investments right now because of volatility of the stock market,” Kevin Gannon, CEO of Robert A. Stanger & Co., said.

Record RIA M&A activity marks strong start to 2025
Record RIA M&A activity marks strong start to 2025

Sellers shift focus: It's not about succession anymore.

IB+ Data Hub offers strategic edge for U.S. wealth advisors and RIAs advising business clients
IB+ Data Hub offers strategic edge for U.S. wealth advisors and RIAs advising business clients

Platform being adopted by independent-minded advisors who see insurance as a core pillar of their business.

SPONSORED Compliance in real time: Technology's expanding role in RIA oversight

RIAs face rising regulatory pressure in 2025. Forward-looking firms are responding with embedded technology, not more paperwork.

SPONSORED Advisory firms confront crossroads amid historic wealth transfer

As inheritances are set to reshape client portfolios and next-gen heirs demand digital-first experiences, firms are retooling their wealth tech stacks and succession models in real time.