Dealers’ Report Card 2018: How a dealer’s ratings and advisors’ recommendations correlate
- June 11, 2018 June 12, 2018
- 17:12
Precious metals action calms, while Dow Jones tops 50K
Brokers, MGAs, software providers and TPAs set to evolve
Sharp drops for big tech companies yanked the U.S. market lower
Firm allegedly touted stocks on social media, while selling its holdings
Unique provision aims to balance interests, provide greater certainty
GoSmart targets newer investors, excludes mutual funds, GICs, bonds, options
Agency seeks feedback on new due diligence standards, enforcement
Regulators flag retail investor issues, market structure, resilience for 2026