March 1, 2006

Articles

It's Not Just About the Trade 

Mar 1, 2006 12:00 PM, BY CHRISTOPHER O'LEARY

The custody and clearing industry is shrinking. For registered investment advisors and reps alike, that's a good thing....

The New Big Board—Or Is That Screen? 

Mar 1, 2006 12:00 PM, BY JOHN CHURCHILL

Technology will play an even bigger role in execution after the merger of the NYSE and Archipelago Holdings is completed this month...

Living with Reg SHO 

Mar 1, 2006 12:00 PM, BY DAVID WEISS

Brokers need to stay on top of the new rules governing short sales...

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Get the latest from Registered Rep. Editor-in-Chief David A. Geracioti on his blog Von Aldo.
Get the latest from Registered Rep. Managing Editor Kristen French on her blog The Reformation.

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In This Issue: September 2010

Cover Story

Outgrowing The Series 7

When the 7 becomes more of a burden than a benefit.



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