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Welcome to the Broker Information Center


Stockbrokers and other financial professionals have been one of the main beneficiaries of the explosion of information on the Internet, and the World Wide Web. Every day, new sources of financial information seem to appear on the Internet, making such information available to customers and potential customers, as well as the market professional.

This easy access to information, and to potential customers themselves, comes with possible dangers and potential problems for the market professional. While we have collected at this site links we consider to be particularily worthwhile, the main purpose of this site is to provide information to brokers and market professionals regarding the regulation of their business and their relationship with their customers.

 At the various information centers contained here, you will find information about the securities laws, including not only the text of the statutes and rules that govern the operation of a securities brokerage firm, and the conduct and business operations of traders, stockbrokers and other professionals, but commentary from securities attorneys and other professionals about how those laws can affect the business, how to avoid disputes with customers, other brokers, and your own firm, as well as how to handle complaints should they arise.

 One of the most significant additions to the Internet was the addition of the SEC's EDGAR database to the Web. The database contains all of the electronic filings of various public companies, and is searchable, in a variety of forms. The main EDGAR page is located at http://www.sec.gov/edgarhp.htm.

 Quote information is available from a variety of sources, and can be obtained on a current quote basis, a historic basis, or even a file of historic quotes which can be imported into spreadsheets and charting programs. We have collected those resources in our Financial Links page. For a quick chart of a particular security, MIT has provided a chart server.

 As part of is Broker Information Center, we have included a collection of links that should be of interest to market participants in general, including sources of financial and business news and other financial related information.

 There are also a collection of links to articles written by various professionals of interest to securities and commodities brokers, as well as links to caselaw, statutes and regulations that affect the securities and commodities professional.

This site is updated on a continuing basis. If you would like to be notified by email when there are additions or significant modifications to this site, please enter your email address below, and the robot at Netmind will let you know when there is a change to our Whats New Page, where all significant changes are announced.

 


 


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Copyright 2010. VGIS Communications LLC. All Rights Reserved. VGIS Communications, LLC - 41 Watchung Plaza, Suite 249, Montclair, New Jersey 07042 - 973-559-5566. Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial adviser before acting upon the information contained in this article. For additional information, contact Mark J. Astarita, Esq., a partner in the law firm of Beam & Astarita, LLC, who represents clients in a wide variety of finance related matters. Mr. Astarita can be contacted by email at astarita@beamlaw.com.

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