Best Execution

Ensuring your customers are receiving best execution of their orders is of critical importance and adequate reviews are a regulatory requirement. The best ex committee ...

A small investment adviser based in Ohio is paying the price for not giving compliance its due.   Everhart Financial Group ($250M in AUM) in ...

Receipt of 12b-1 fees not only created a conflict of interest that was not adequately disclosed to EFG’s clients, but favoring 12b-1 funds over others ...

A peer shares a form that lays out how the firm compares brokers.

Lessons aplenty can be found in the new SEC settlement with Morgan Stanley Investment Management ($257B in AUM) over the illegal “parking” of some trades ...

From October 2011 to June 2013, Ge, then a trader at SGAS, a registered broker dealer, engaged in a series of unlawful prearranged purchases of ...

These proceedings concern a series of unlawful prearranged trades conducted by a portfolio manager/trader formerly employed by registered investment adviser MSIM which resulted in the undisclosed ...

These proceedings arise out of Respondent’s failure to seek to obtain best execution of certain customer orders. As a result of such failures, Respondent’s representations ...

Details on exam trends and the application of exemptions and exclusions from the municipal advisor registration rules will be among the issues covered at the ...

Virtually four months to the day from the Municipal Securities Rulemaking Board’s effective date for its new rule on best execution for municipal securities transactions, ...