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Best Execution

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
Certain MMLIS and MSI advisory clients to invest in share classes of mutual funds in the Clearing Broker’s NTF and TF Programs that resulted in ...
'A regulator who always says "no" is not serving investors well,' Peirce says.
Paradigm routinely selected higher cost Class A shares instead of lower cost mutual fund share classes for which clients were eligible, and thereby avoided incurring ...

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