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The self-regulatory organization expects firms to rebate the portion of a mutual fund’s trailing commission that is related to advice

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The action against TD Asset Management claims damages of $200 million

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Clients of the U.S. discount brokerage can gather news, do their research, get real-time quotes and take action

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The self-directed brokerage industry has come under fire since late December

  • By: IE Staff
  • January 30, 2018 January 31, 2018
  • 14:30

Several marijuana companies have taken a major hit

Customers complain on social media

Second place Questrade moves up one position from 2016

RBC introduces mobile app for DS advisors

Although mobile accessibility and services for discount brokerage clients has improved, it continues to lag the traditional online experience

  • By: Leah Golob
  • November 30, 2017 November 30, 2017
  • 12:15
Self-directed investors turning away from robo-advisors

There’s a growing desire among these investors for a combination of full-service advice and self-service tools, J.D. Power report finds

  • By: Leah Golob
  • September 14, 2017 December 19, 2017
  • 11:40

Resist the temptation to help clients in a way that breaches your legal and regulatory obligations