Too big to manage risk
If you talk to anyone about the financial crisis for more than a few minutes, one expression is likely to crop up: “too big to fail.” There’s even an entry for it in Wikipedia, where it’s defined as “a...
View ArticleWhat brokerages must do to succeed in 2012
With 2012 underway, it’s clear that caution is at an all-time high among investors. This is reflected in shrinking trading volumes and tighter brokerage commissions—a sharp contrast to years past,...
View ArticleFINRA regulations 2111 & 2090 raise the bar on advisor accountability. Is...
Come July 2012, FINRA will be “raising the bar” on the fiduciary obligations financial advisors have relative to their clients. While prior rules (FINRA 405 & 2090) emphasized transaction...
View ArticleYou Say Riskless Principal, and I Say Net Trading
In an effort to further reduce costs for brokers and capture more volume from brokers, some execution providers have implemented some creative execution options for their clients. About 10 years ago,...
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