[1] Although many broker-dealers are "independent" firms solely involved in broker-dealer... [5] When acting on behalf of customers, broker-dealers have a duty to obtain "best execution" of...
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ALERT MEMORANDUM SEC Adopts Best Interest Standard for Broker- Dealers and Fiduciary Duty... o The SEC now has an independent basis to examine and enforce sales practice violations outside...
a best interest fiduciary rule by the Department of Labor (DOL). [11] As of 2019, Merrill... recommendations independent of outside influences Select broker-dealers based on their ability...
[1] Contents 1 Definition 2 Etymology 3 Types of brokers 4 References 5 Further reading 6 External links Definition [edit] A broker is an independent party whose services are used...
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national best bid and offer (NBBO) of $10 / $10.05. Say that... of broker-dealers falling into one of two broad categories: a wirehouse, which sells its own products, or an independent...
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