Enhanced disclosure serves the interests of investors
US$1.3 million returned to investors
The U.S. brokerage was censured for supervisory violations relating to chronic fails to deliver by a client in multiple ETFs
Investors should be aware that conflicts of interest can exist even with digital investment advice
The proposal aims to improve transparency to retail investors
A letter from the U.S. self-regulatory organization highlights areas of concern
SBLOCs carry risks, including potential tax consequences
Several areas of potential emerging risk merit further study
Proposed rule change would be a huge step backward, says PIABA president
Rick Ketchum’s stewardship of the U.S. self-regulatory organization began in the aftermath of the financial crisis