Browsing: Broker Dealers

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UK Broker Liberum Distributes Research Through Raymond James

10/20/2022
UK small cap broker Liberum signed a deal to distribute its research through Florida-based Raymond James following a similar relationship with CGS-CIMB, a joint venture between Beijing-based China Galaxy Securities ...
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One MIFID II Payment Solution May Be Risky for Brokers

09/22/2022
Over the past few months, both the buy and sell-side have been discussing various ways to address the SEC’s recent announcement that they will not extend the SIFMA “no action” ...
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Webinar: SEC No Action Relief for MiFID II Clients to End

09/19/2022
Global agency broker, StoneX will be hosting a live webinar featuring three industry experts this Tuesday, September 20th at 11:00 am to discuss the impact of the SEC’s recent announcement ...
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Wall Street Events Record Seasonal Dip in Summer 2022

08/08/2022
Corporate event data vendor, Wall Street Horizon, recently reported that the number of Wall Street oriented conferences, roadshows, analyst meetings and company conference calls fell 31.5% in July 2022 when ...
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SEC No-Action Letters on MiFID II Won’t Be Extended

07/28/2022
Earlier this week, as part of his prepared remarks at the PLI: Investment Management 2022 conference, William Birdthistle the SEC Director, Division of Investment Management explained that the SEC does ...
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MKM Partners Adds Former KeyBanc Analyst to Cover Energy Stocks

07/27/2022
Last week, Stamford Connecticut-based institutional equity trading, sales and research broker MKM Partners announced that it has hired former KeyBanc Capital Markets analyst Leo Mariani, CFA as Managing Director, Senior ...
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Webinar: Capital Market Technology Trends & Priorities 2022

07/18/2022
This Thursday, July 21st, 2022 at 11:00 am, Integrity Research Associates will host the next in its series of live ResearchInsights webinars featuring two executives from Singletrack, a UK capital ...
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Survey: Real-Time Data and Analytics Important to Successful Management Decisions at Investment Banks & IRPs

06/13/2022
Forty-five percent of respondents in a recent survey of investment banks, broker-dealers and independent research firms agreed that it is very important to the success of their businesses to base ...
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Wall Street Events Rise Modestly in Late Summer

09/27/2021
Corporate event data vendor, Wall Street Horizon, recently reported that the number of Wall Street oriented conferences, roadshows, analyst meetings and company conference calls rose a modest 5.5% in July ...

Wolfe Research Adds II Ranked Metals & Mining Analyst

08/23/2021
New York based equity research boutique, Wolfe Research, recently announced that Institutional Investor-ranked Metals and Mining analyst, Timna Tanners will be joining the firm in the early 4th Qtr, 2021. Newest ...
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