Nick Fera

Articles From This Author
New finra culture reviews may be well-intentioned, but they are also flawed
Jul 12, 2016 8:13 AM EDT
Broker dealers, here’s what overlapping sec and finra exams mean for you
May 10, 2016 12:52 PM EDT
What broker-dealers need to know about the changing role of compliance officers
Apr 16, 2016 10:47 AM EDT
Is the heyday of broker-dealers' maker-taker model coming to an end?
Mar 28, 2016 12:17 PM EDT
Firms need to become proactive in reining in the scourge of spoofing
Feb 11, 2016 11:43 AM EST
3 reasons bitcoin's blockchain technology won't be mainstream in 2016
Jan 15, 2016 9:23 AM EST
3 Emerging Technologies That Broker-Dealers Should Get to Know in 2016
Nov 10, 2015 10:40 AM EST
3 Ways Middle Market Broker-Dealers Can Improve Compliance
Oct 22, 2015 11:34 AM EDT
How Small Broker-Dealers Can Survive in Today's Shifting Trading Landscape
Sep 10, 2015 10:25 AM EDT
Myth vs. Reality: Contemplating CSA Unbundling in the U.S.
Jul 17, 2015 12:02 PM EDT
3 Back-Office Strategies Broker-Dealers Need to Use Right Now
Jun 23, 2015 10:30 AM EDT
These 5 Mistakes Can Cost Broker-Dealers Money and Business
Jun 9, 2015 12:30 PM EDT
Brokers Need to Monitor Market for Cheating in Era of Flash Crash
May 20, 2015 10:28 AM EDT