|CBOE||Additional Cboe Updates||02/04/2020|
|CBOE||CBOE Regulatory Request Reporting Format||10/31/2014|
|CBOE||Extended Trading Hours||03/26/2015|
|CBOE||Options Tied to Stock||07/07/2015|
|CFPB||Electronic Funds Transfer (Regulation E)||08/29/2014|
|DTCC||ACATS (including Mutual Fund Transfers)||08/14/2019|
|DTCC||Additional DTCC Updates||02/13/2020|
|DTCC||Corporate Bond, Municipal Bond, UIT (CMU) Real-Time Trade Matching (RTTM)||03/22/2016|
|DTCC||DTCC Corporate Actions Re-engineering||05/25/2016|
|DTCC||DTCC Cost Basis Reporting Service (CBRS)||09/12/2014|
|DTCC||DTCC Limit Monitoring||04/26/2016|
|DTCC||FICC Government Securities Division (GSD)||11/16/2015|
|DTCC||NSCC Obligation Warehouse||06/01/2015|
|DTCC||NSCC Real-Time QSR and Correspondent Clearing||11/20/2015|
|DTCC||NSCC Universal Trade Capture (UTC)||02/02/2016|
|DTCC||OTC Market Impact of European T+2 Settlement||07/18/2014|
|DTCC||Wealth Management Services - Mutual Funds||01/29/2015|
|Exchanges/SIPs||Equity SIP Expanded Message Header Formats||05/26/2015|
|Exchanges/SIPs||Market Data Capacity||03/27/2015|
|Exchanges/SIPs||Sale Condition Modifiers||02/26/2015|
|FINRA||Additional FINRA Rules/Notices||02/18/2020|
|FINRA||Alternate Display Facility||10/07/2016|
|FINRA||Enhanced Price Disclosure||02/26/2016|
|FINRA||FINRA - Electronic Blue Sheets (EBS)||10/01/2019|
|FINRA||FINRA 2232 (Customer Confirmations)||11/17/2016|
|FINRA||FINRA ATS Transparency||08/13/2018|
|FINRA||FINRA Comprehensive Automated Risk Data System (CARDS)||11/09/2015|
|FINRA||FINRA Equity Trading Initiatives - Clock Synch||11/12/2014|
|FINRA||FINRA Equity Trading Initiatives - OATS/ATS Trade Reporting||06/23/2017|
|FINRA||FINRA Equity Trading Initiatives - Trade Sequencing||11/12/2014|
|FINRA||FINRA Hybrid Securities||05/23/2014|
|FINRA||FINRA Rule 2090/2111 Know Your Customer/Suitability||09/25/2013|
|FINRA||FINRA Rule 4210 - MBS Margining||01/29/2019|
|FINRA||FINRA Rule 6121.01||09/01/2016|
|FINRA||FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)||11/23/2015|
|FINRA||FINRA Rules 4314, 4330, and 4340||02/03/2014|
|FINRA||FINRA Self-Trading - (SR-FINRA-2013-036)||10/02/2014|
|FINRA||FINRA/MSRB - Confirmation Disclosure of Fixed Income Pricing Information||12/11/2015|
|FINRA||Guidance on Best Execution Obligations||11/20/2015|
|FINRA||Large Options Position Reporting (LOPR)||10/11/2016|
|FINRA||Order Audit Trail (OATS)||07/11/2019|
|FINRA||Over-the-Counter Reporting Facility (ORF)||04/15/2019|
|FINRA||Securities Trader Registration||06/06/2016|
|FINRA||TRACE "No Remuneration" Indicator||06/10/2016|
|FINRA||TRACE Non-Member Affiliate Reporting||10/02/2015|
|FINRA||TRACE Reporting of ATS Transactions||04/27/2016|
|FINRA||Trade Reporting and Compliance Engine (TRACE)||01/29/2020|
|IRS/TAX||Additional IRS Updates||09/25/2017|
|IRS/TAX||Cost Basis Reporting||04/16/2015|
|IRS/TAX||Foreign Account Tax Compliance Act (FATCA)||07/23/2014|
|ISG||Electronic Blue Sheets (EBS)||12/30/2016|
|MSRB||Best Execution for Municipal Transactions||11/20/2015|
|MSRB||Central Transparency Platform||09/02/2014|
|MSRB||Other MSRB Rules and Interpretive Guidance||01/31/2020|
|NYSE||Account Type Indicator||05/17/2016|
|NYSE||Additional NYSE Updates||11/06/2019|
|NYSE||Pillar Platform Change||05/28/2019|
|NYSE||Requirements for OffExchange Transactions||01/28/2016|
|OCC||Additional OCC Updates||02/13/2020|
|OCC||Mandate Customer ID on Post Trade CMTA Transfers||11/26/2014|
|OFR/DTCC||Legal Entity Identifier (LEI)||01/21/2014|
|SEC||Additional SEC Initiatives||02/21/2020|
|SEC||Covered Clearing Agency||09/28/2016|
|SEC||Disclosure of Order Handling Information||11/02/2018|
|SEC||Financial Responsibility Rules||03/06/2014|
|SEC||Large Trader Reporting||02/22/2016|
|SEC||Lost Securityholders and Unresponsive Payees||01/16/2013|
|SEC||Money Market Fund Reform||08/29/2014|
|SEC||Short Sale Reporting Study||06/05/2014|
|SEC/SROs||Consolidated Audit Trail (CAT)||02/12/2020|
|SEC/SROs||Regulation SCI / Market Stability||07/24/2017|
|SEC/SROs||Short Sale Regulation (Rule 201 and Order Marking FAQs)||10/15/2015|
|SEC/SROs||Tick Size Pilot||04/11/2019|
|SIFMA||Industry BCP Testing||04/21/2016|
|SROs||Additional Equities Initiatives||05/16/2016|
|SROs||Additional Options Initiatives||01/09/2019|
|SROs||Clearly Erroneous Executions||06/19/2014|
|SROs||Common Suffix Symbology||02/26/2014|
|SROs||Exchange Traded Managed Funds (ETMFs)||04/08/2016|
|SROs||Limit Up-Limit Down (LULD)||12/18/2018|
|SROs||Market Dynamics Analysis||07/24/2014|
|SROs||Market Share Analysis||07/11/2014|
|SROs||Options Penny Pricing Pilot||03/11/2015|
|SROs||Professional Customer Designation||05/16/2016|
Wir bieten unseren Kunden mit nützlichen Informationen und Ratschläge, die sie benötigen, fundierte Entscheidungen zu treffen, ihre Ziele zu erreichen. Ob es sich um die Verwaltung von Kundeninvestitionen oder einen umfassenden Plan für sie zu schaffen und ihre Familie sind unsere zertifizierten Planern gewidmet mit einem außergewöhnlichen Service zu bieten.
Deshalb, im Laufe der Jahre konnten wir einen Ruf als einer der besten unabhängigen Beratern zu bauen. Wir verstehen die Bedeutung der Kunden auf dem richtigen Weg zum Erfolg bringen, und wir sind bereit, mit ihnen der Planung in allen Bereichen zu arbeiten.
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