How TD Ameritrade's Block Trading Desk Saves Its RIAs Money
By Ginger SzalaWith the widening of spreads, saving a penny makes a big difference, the head of the desk tells ThinkAdvisor.
May 01, 2020
How the CARES Act Helps Mortgage HoldersBut not all homeowners can access this relief, the GAO says.
May 01, 2020
SEC Forms COVID-19 Task Force, Issues More Regulatory ReliefThe SEC issued orders to set up a phased CAT reporting timeline for BDs and issued a plan to modernize fund valuation practices.
May 01, 2020
New York State Department of Financial Services Hires a Chief Counsel: Personnel MattersPrincipal, EmblemHealth and the Health Transformation Alliance also have announcements.
May 01, 2020
FINRA COVID-19 Fraud Task Force Has Referred 50 Potential Scams to SECFINRA has hired Greg Ruppert, formerly of Schwab, to spearhead its COVID-19 fraud task force.
May 01, 2020
FINRA Slams Ex-Ameriprise Rep Who Misappropriated Client's FundsThe broker was terminated after allegedly converting more than $42,000 of an elderly client's funds for his own use.
April 30, 2020
Fed Expands Main Street Lending ProgramBoth bigger and smaller companies will be able to participate under the latest expansion.
April 30, 2020
LPL Beats Estimates; Earnings & Sales Rise 7%The number of affiliated advisors totaled 16,763, up 574 from a year ago and 299 from the prior quarter.