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Best Execution

FRIM had a conflict of interest when it recommended money market funds available as Sweep Account options
Although neither HighPoint nor its IARs received the 12b-1 fees paid to the Clearing Firm, HighPoint and its IARs had a conflict of interest when ...
While larger firms tend to give best ex reviews to committees, too many smaller firms make the mistake of lacking any best ex reviews
A peer shares their best execution compliance policies and procedures
A peer shares a copy of the firm's best execution checklist
Deutsche Bank Securities failed to seek best ex for its customers' orders tied to a dark pool it operated
SEC settlement notes review of P&Ps tied to share class selection, revenue sharing, markups, best ex and more
SRO reminds that firms need to be dialed in to what is considered 'prompt' execution in light of developing technology
A peer shares an Excel file the adviser uses to "score" its broker-dealers as part of its best execution review
A peer shares a great best ex tool
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