broker
RSS brokerInsurance Broker Experiences 50 Percent Cost Reduction in First Month With EMC Captiva QuickScan Pro
White Paper As a wholesale insurance broker servicing independent retail insurance agencies Providence Insurance Brokers Inc.needed an innovative and cost effective way to process lengthy application and policy documents. [05 Jul 2008]
TechNet Webcast: SQL Server 2005 for the IT Professional (Part 6 of 11): New Application Design Patterns for Scalability and Availability and the Operational Implications of Service Broker (Level 200)
White Paper SQL Service Broker is an integral part of the database in Microsoft SQL Server 2005. This webcast presents what new data objects comprise Service Broker, what new SQL statements are needed to be known about, and how to manage it, secure it, and... [05 Jul 2008]
Bank Exceptions to Broker-Dealer Regulation in the Gramm-Leach-Bliley Act
White Paper The Securities and Exchange Commission on May 11, 2001 adopted interim final rules addressing the bank exceptions to broker-dealer regulation in the Gramm-Leach-Bliley Act. The new rules will affect most banks and savings associations that enter... [03 Jul 2008]
Analysis of SEC's New Changes to Broker Books and Records Rules
White Paper Recently announced changes to the SEC's recordkeeping rules for broker -dealers, Rules 17a-3 and 17a-4, will require significant systems changes, particularly for those firms with suitability obligations to customers. [03 Jul 2008]
Deadline Looms as Questions Abound on New Broker-Dealer Recordkeeping Requirements
White Paper Rules 17a-3 and 17a-4 are recordkeeping rules only; they do not purport to affect a broker-dealer's substantive obligations to customers. The amendments to Rules 17a-3 and 17a-4 demand significant changes for many firms, particularly those with... [03 Jul 2008]
Event Enabling the Enterprise with Enterprise Event Broker
White Paper This white paper examines investments spent on development and maintenance of integration solutions for Information technology is expected to provide companies with a competitive advantage and a measurable return on investment. [03 Jul 2008]
Service Agency: Broker for the New Service Economy
White Paper Service Agency recognizes the high value of the existing relationship that providers have with their customers. Distribution power gives providers the edge in the industry. The focus of differentiation is not on services, but rather on the buying... [03 Jul 2008]
XML Messaging, Part 1
White Paper Further, he presents a simple XML message broker for custom XML messages. In the course of developing this broker, he introduces general broker development strategies. Finally, we'll finish up with a simple example of an XML broker. [03 Jul 2008]
Implementing Direct Materials B2B Exchanges
White Paper Whether you are a direct materials supplier, buyer, or broker, who is looking into or beginning implementing a B2B e-commerce exchange, this paper discusses the requirements, hurdles, and solutions for B2B e-commerce transactions for the exchange... [03 Jul 2008]
Virtual Server Consolidation
White Paper DataSynapse provided distributed computing software to one of the world's largest broker/dealers as it built a next-generation equities trading platform to replace its legacy system. With rapidly increasing functionality and scalability... [03 Jul 2008]
Compensation the Key for SEC "Push-Out" Rules
White Paper After GLBA's passage, the banking industry anxiously awaited the SEC rules which would flesh out the meaning and requirements of the Bank Broker Exemptions. The SEC staff issuance of interim final rules in May 2001 ("2001 Rules"), however, created... [03 Jul 2008]
B2B and Capital Markets: An Overview and Initial Comments
White Paper The modus operandi of how business among corporations or among corporations and the financial services providers such as banks, exchanges, investment banks and broker/dealers has changed quite substantially. [03 Jul 2008]
Regulation S-P Implicates Third-Party Service Agreements
White Paper The rules apply to all broker-dealers, funds, and SEC-registered investment advisers ("Institution"). In response to last year's Gramm-Leach-Bliley financial services legislation (the "Act"), the SEC on June 22 adopted Regulation S-P (the... [03 Jul 2008]
The Effect of Transaction Size on Off the Run Treasury Prices
White Paper This paper examines intra day trading data from the inter dealer broker market for U.S. Price pressure effect is implied by segmentation in the market for a security. An empirical property of a segmented market is that the price of the security is... [03 Jul 2008]
Automated Construction of CORBA-Enabled Applications Using UML
White Paper The popular technologies in the marketplace are the COM family by Microsoft, Enterprise Java Beans, and the Common Object Request Broker Architecture (CORBA). The software-development world constantly seeks solutions to the problems of design reuse... [03 Jul 2008]
