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Broker Protocol Member List Updated: May 2, 2014. You can download a PDF of the Broker Protocol here. RIABiz DIRECTORY. THE Industry Sourcebook for The Protocol for Broker Recruiting (the “Protocol”) was created and adopted by three major wirehouses in 2005- Citigroup Global Markets (Smith Barney), Merrill 18 Oct 2016 It all depended on a gift from Morgan Stanley: Years earlier, the bank had signed away its right to sue by agreeing to the Protocol for Broker 22 Aug 2016 In the early 2000s, litigation related to broker-dealer recruiting and changing broker-dealers had reached such a fever pitch, the major wirehouses Smith Barney, Merrill Lynch, and UBS executed a form of “cease fire” treaty, dubbed the “Protocol for Broker Recruiting”, and stipulating the terms under which a broker Broker Protocol. Effective May 4, 2015, Bressler Amery & Ross assumed the administrative function of the Protocol for Broker Recruiting. For more information Starting May 4, 2015, Bressler, Amery & Ross P.C. will administer the Protocol for Broker Recruiting (also referred to as the Broker Protocol). Bressler, Amery The Protocol for Broker Recruiting is maintained at Bressler, Amery & Ross at: agreement and the recruiting of financial professionals from other Protocol firms. Read The Broker Protocol. The principal goal of the following protocol is to further the clients' interests of privacy and freedom of choice in connection with the movement of their Registered Representatives ("RRs") between firms. 13 Jun 2012 In the eight years since it was written, 801 firms have signed onto the so-called broker protocol, which defines what kind of client information a
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