Best Execution

These proceedings arise out of Respondent’s failure to seek to obtain best execution of certain customer orders. As a result of such failures, Respondent’s representations ...

Details on exam trends and the application of exemptions and exclusions from the municipal advisor registration rules will be among the issues covered at the ...

Virtually four months to the day from the Municipal Securities Rulemaking Board’s effective date for its new rule on best execution for municipal securities transactions, ...

Recent enforcement actions demonstrate that best execution hasn’t slipped from regulators’ list of inquiring topics.   An examination by IA Watch of several best execution ...

A peer shares an example of his firm's "scorecard" for judging which brokers to use under its best execution policy.

Two brokers for the now-defunct Rochdale Securities have been barred by the SEC for shirking their best execution obligations and engaging in a scheme to ...

Tunick knowingly put the interest of his Customer ahead of the interest of Rochdale's other customers. Also as a result of Tunick’s conduct, Rochdale essentially ...

As a result of Burke’s misconduct, certain other Rochdale customers generally paid higher average prices on purchase orders or received lower average prices on sale ...

It’s well established that seeking best execution doesn’t rest on price alone (IA Watch, Nov. 1, 2010). A new decision by an SEC ALJ bars ...

This speech from 2001 outlines SEC expectations for best execution and valuation, especially for fund advisers