- Reinventing the Relationship: Institutional Brokerage Profitability
Missed the webinar? Request the slides!
September 21st, 1pm ET Join Larry Tabb, Founder and CEO of The TABB Group for a discussion about the future of institutional brokerage profitability. Competitive firms are discovering a silver lining in today’s unpredictable market. Short-sighted price reductions in an attempt to gain market share are giving way to insightful analysis of daily trading activity in order to gain a long-term strategic advantage. Brokers who recognize these opportunities now will not only survive in these volatile markets, but also emerge far ahead of their competitors.
- Soft Dollar (CCA/CSA) Webinar featuring Lee Pickard
As Soft Dollar (CCA/CSA) programs continue to grow in complexity and volume, are you staying current on the regulatory environment?
Lee A. Pickard, senior partner of Pickard and Djinis LLP, a leading authority and author on this subject will give an update and answer your questions on Guidance on the Applicability of Section 28(e), Scope of Services, Broker-Dealers as Research Providers, Commission Credits Pools, Commission Credit Pool Payments, Transactions which Support SEC 28(e), and Recent Actions by the DOL and SEC.