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Home > Financial Services > Stock Brokers > Charles River Brokerage, Llc
Charles River Brokerage, Llc
Charles River Brokerage is a member of NASD, the National Association of Security Dealer. 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.
Charles River Brokerage is a NASD registered broker dealer and a subsidiary of Charles River Development and formed in 2004; Charles River Brokerage's primary mission is to guide institutional investors through the proper use of the safe harbor provision under Section 28e of the Securities Exchange. Charles River Brokerage presents the institutional investment community with a unique opportunity trade directly with your normal coverage at numerous brokerage firms, specialty broker dealers.
An expert in the proper management of the entire Section 28e process, Charles River Brokerage takes a consultative approach, guiding each firm to ensure understanding of and adherence to, the subtleties of 28e. Unlike other broker dealers servicing institutional clients, Charles River enters into a consultative, long term partnership with each investment manager.
They offer State of the art technology which results in efficient and timely processing, Secure online Account Portal for convenient auditing, viewing and approval of vendor invoices as well as timely access to comprehensive monthly reports, proactive personnel, The freedom to make service arrangements with your preferred third party vendors, Aggressive and simplified pricing and payment, The opportunity to consolidate and streamline all research and brokerage service payments, Access to leading US. With Charles River Brokerage you have the freedom to select executing brokers based on best price, independent of peripheral services, Personal attention through a consultative, service oriented approach.
They provide services such as Pre negotiated execution arrangements and fees with leading clearing and execution venues, Professional assessment of whether specific research and brokerage services fall under Section 28e, Allocation recommendations i.e. percent of usage you can safely allocate to a particular research or brokerage service under Section 28e, Streamlined reconciliation and administration of Section 28e payments and services on your behalf, State of the art, online reporting including a consolidated monthly statement.
Charles River Brokerage provides a comprehensive set of support services to help clients obtain best execution, utilize the services of their preferred third party vendors and to manage the credits and payments associated with Section 28e products and services.
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