Banks' profitability is expected to be challenged over the next 12 to 18 months
Why well-managed small and mid-size independent dealers are competing effectively
Firm aims to broaden offering with estate, trust and power of attorney services
Dealers large and small see healthy growth in profits
SRO satisfied firm will put in place appropriate disclosure, policies, procedures and controls
A weaker outlook for 2019 will likely lead more firms to leave the business
Each party has different roles and responsibilities, and different regulatory obligations, to the client
More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been
Request follows recent a SEC decision which found that exchanges did not provide sufficient justification for their marketplace fees