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Nick Fera

Nick Fera

Articles From This Author

Now You See It, Now You Don't: Adviser Gets Go-Ahead to Zap 11 Investor Complaints From Record
OPINION

New finra culture reviews may be well-intentioned, but they are also flawed

GOP Bill Would Curb Shareholder Activism
OPINION

What new developments in the consolidated audit trail spell for broker-dealer compliance

VIX Seen Settling; Goldman, ASML Continue Earnings Onslaught -- ICYMI
OPINION

Broker dealers, here’s what overlapping sec and finra exams mean for you

What Broker-Dealers Need to Know About the Changing Role of Compliance Officers
OPINION

What broker-dealers need to know about the changing role of compliance officers

Dow's Worst Performers: NKE, AAPL, MCD, MRK, INTC
OPINION

Is the heyday of broker-dealers' maker-taker model coming to an end?

Feb. 16 Premarket Briefing: 10 Things You Should Know
OPINION

Firms need to become proactive in reining in the scourge of spoofing

Bitcoin Prices Are Soaring, and These Two Tech Companies Are Thrilled
OPINION

3 reasons bitcoin's blockchain technology won't be mainstream in 2016

Rogue Traders Whose Behavior Is Risky Can Be Tracked Early On
OPINION

3 Emerging Technologies That Broker-Dealers Should Get to Know in 2016

3 Lessons For Financial Advisors
OPINION

3 Ways Broker Dealers Can Weather Economic Downturns

Is Your Financial Advisor Worth What You Pay?
OPINION

3 Ways Middle Market Broker-Dealers Can Improve Compliance

Rogue Traders Whose Behavior Is Risky Can Be Tracked Early On
OPINION

How Small Broker-Dealers Can Survive in Today's Shifting Trading Landscape

Myth vs. Reality: Contemplating CSA Unbundling in the U.S.
OPINION

Myth vs. Reality: Contemplating CSA Unbundling in the U.S.

What Broker-Dealers Need to Know About the Changing Role of Compliance Officers
OPINION

3 Back-Office Strategies Broker-Dealers Need to Use Right Now

Micron Investors Will Be Clamoring for This $1 Billion Transaction: Jim Cramer
OPINION

These 5 Mistakes Can Cost Broker-Dealers Money and Business

Pearson Plummets on Lower Guidance; Other Publishers Offer Better Investment Opportunities
OPINION

Brokers Need to Monitor Market for Cheating in Era of Flash Crash