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Home > Financial Services > Stock Brokers > Westminster Research Associates, Inc.

Westminster Research Associates, Inc.

Westminster Research Associates Inc is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.

The firm specializes in providing independent research products and services to the institutional investment community. It was founded in 1993 to serve as one of the largest soft dollar operations on Wall Street. It provides their clients with value-added research coupled with a new and innovative trading approach. A state-of-the-art client reporting system delineates trading and research payment information in a single, consolidated monthly statement, which eliminates the administrative burden associated with multiple soft dollar relationships.

Westminster Research Associates (WRA) offers certain of its customer’s internet access to certain information about customer’s accounts. Any person or entity accessing this web site on its own behalf shall be deemed a customer for purposes of this User Agreement; any person accessing this web site on behalf of another person or entity shall be deemed to represent and warrant that it has full power and authority to bind such other person or entity to the terms and conditions of this User Agreement and such other person or entity shall be deemed the customer for purposes of this User Agreement.

WRA policy is to respond to a Significant Business Disruption (SBD) by safeguarding employees’ lives and firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the firm’s books and records, and allowing the firm’s customers to transact business. The administration includes the payment of soft dollar statements, the reporting of soft dollar services, including web access to customer statements and soft dollar invoices, and various clients reporting functionality. In the event of an internal SBD or external SBD, the firm will relocate staff to it off -site disaster location.

The Westminster Research Associates Inc. mission critical systems are those that ensure prompt and accurate reporting of securities transactions and research payments. The firm has primary responsibility for establishing and maintaining their business relationships with their customers and has sole responsibility for their mission critical functions.

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