US Securities and Exchange Commission (SEC) Chair Paul Atkins has released a regulatory agenda containing proposed…
Tag: BrokerDealers
Merchant Takes Stake in Valuation Firm; Broker/Dealers Add Teams
Merchant Takes Stake in Valuation Firm Merchant Investment Management, a New York City-based investment firm that…
How switching broker-dealers led to a tech rethink: Show Me Your Stack
Welcome to “Show Me Your Stack,” a series from Financial Planning in which we interview those…
Broker/Dealers to Pay Millions in Settlement Over Small-Dollar Trade Charges
Several broker/dealers firms, including Edward Jones, LPL Financial, RBC, Stifel and TD Ameritrade, will pay millions…