Best Execution

Two recent SEC enforcement cases against advisory firms show you'd be wise in choosing your words carefully - especially when disclosing details to clients and ...

The entities settled a case that had at its root undisclosed compensation, which was obtained by charging increased commissions on trades for clients through its ...

It appears as a constant challenge: how can you satisfy your obligation to seek best execution when transparency lacks in fixed-income transactions like a ship ...

Brokers may be directing your trade executions through certain exchanges because they're getting rebates that could increase trading costs by $5 billion annually, according to ...

One adviser holds an annual meeting to examine best execution. Another occasionally checks in with traders and the portfolio manager. A third employs historic metrics, ...

This is an example of a questionnaire firms can give to employees to spot potential conflicts of interest. This comes courtesy of Victoria Hogan of ...

SEC rules don't spell out how to obtain best execution but your fiduciary responsibilities require you to try to achieve the best deal for clients.This ...

Click here to open an Excel worksheet designed to track the top 10 brokers selected for best execution purposes, including listing soft dollar percentages and ...

Satisfying SEC examiners when it comes to best execution could be as simple as having a process that seeks best execution and routinely following it ...

Confidence doesn't exactly ooze from those charged with valuing bonds, especially the municipal variety, and the economic times are conspiring to make the task harder ...