law & order planadviser January/February 2013

Buyer Beware

How well do you know your broker/dealer?

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Client Service

September 4th, 2024

The minimum holding to receive financial advice from "robo-advisory" services will drop to $100 from $3,000.

Compliance

March 7th, 2024

Rule amendments finalized this week will require broker/dealers to share more information on the quality of stock order executions and...

Compliance

February 7th, 2024

The targets of the rule likely include major hedge funds trading in government securities as buyers and sellers.