Tag: brokers

Some brokers claim to be low price, offering investors the lowest price for execution. Others focus on other factors such as speed or liquidity, claiming that their method of obtaining execution for a proposed trade transaction is superior based on …

Bloomberg Tradebook Settles Fraud Charge with SEC Read More »

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Regulation Best Interest, born of a long debate over the appropriate standard to govern recommendations by broker-dealers, is now the subject of an OCIE Risk Alert. The staff is preparing to launch its first inspection for compliance with Regulation Best …

The First OCIE Inspection of Brokers Re Reg Best Interest Read More »

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