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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.


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Browsing Hashtag: #BestExecution

Investor Protection

Advisory Clients Would be Outraged by Double-Billing

June 4, 2020

Investor Protection

Some ‘Oops’ Moments with Municipal Bonds

May 18, 2020

Investor Protection

Municipal Bonds - An Over-Reliance on the 'Honor System'

April 13, 2020


FINRA 2019 Priorities Letter (Final Part Four) – Market Risks

January 24, 2019

Regulatory Sanctions

NYSE ARCA Disciplinary Actions - December 2018

December 24, 2018

Regulatory Sanctions

Recent CBOE Disciplinary Actions

October 12, 2018

Compliance Concepts

OCIE Risk Alert: Best Execution Issues Cited in Adviser Exams

July 13, 2018

Regulatory Sanctions

FINRA Sweeps Nab Firms for Best Execution Violations

May 24, 2018

Regulatory Sanctions

Good Execution Falls Short When 'Best Execution' is Required

December 14, 2017

Compliance Concepts

Report on FINRA Examination Findings

December 6, 2017

Regulatory Sanctions

FINRA Closes 4-Year Old Best Execution Case Against Oppenheimer

October 19, 2017


Payment of Order Flow vs. Best Execution: Massachusetts Investigates

August 15, 2017

Regulatory Sanctions

Bond Trader Caught Gaming Institutional Customers

August 8, 2017

Regulatory Sanctions

RIA/BD Settles with SEC Over Best Execution, Conflicts of Interest

July 19, 2017

Regulatory Sanctions

Credit Suisse and Star Broker to Pay $7.9Mn Over Breached Fiduciary Duty - SEC

April 5, 2017


FINRA 2017 Exam Priorities – New Podcast

March 28, 2017

Regulatory Sanctions

Citadel Securities to Pay $22Mn for Misleading Clients About Pricing Trades - SEC

January 13, 2017

Regulatory Sanctions

Moloney Securities Flagged for Repeat Principal Transactions and Best Ex Violations - SEC

September 30, 2016