Measure allows trailer rebates to facilitate compliance with ban on paying trailers to discount brokers
Regulator proposes knowledge standards under new crypto regime
Demand for advice, strong markets to drive growth in client assets
Research finds that active funds underperformed between 2019 and 2023
Investment banking, trading revenues expected to rise in Q4
Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged
CCIR, CISRO propose new guidance on the design, distribution of seg funds
Record debt issuance powers strong year for investment banking revenues: LSEG
Exchange seeks change to dark trading price improvement rules, feedback on unintentional crosses
Firms failed to ensure that investors got fund fee rebates, waivers