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The SEC is weighing a requirement that brokers tell investors exactly where their stock trades go to be executed.
The brokerage industry is warning that lack of a cost-benefit analysis could doom Finra’s plan to require disclosure of broker-recruitment bonuses.
- How A 56-Year-Old Engineer’s $45,000 Loss Spurred SEC Probe
- Ex-BP Worker Settles SEC Insider Trading Claims On Spill
- U.S. Said To Warn Money Managers of More Russia Sanctions
- Most Parents Plan To Use Income To Pay For College, Study Says
- Rapid LTC Insurance Rate Increases May Halt, Says Trade Group
Inside the current issue
by Eric Rasmussen
Are online advisory platforms like Bill Harris’ Personal Capital a friend or foe to flesh-and-blood advisors?
by Dan Jamieson
Pressures are increasing, particularly on small independent b-ds, but various trends are creating plenty of opportunity for the industry overall.
by Evan Simonoff
A long-term bear market for bonds changes all the retirement calculations.
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