Best Execution

The certification shall identify the undertakings, provide written evidence of compliance in the form of a narrative, and be supported by exhibits sufficient to demonstrate ...

FRIM had a conflict of interest when it recommended money market funds available as Sweep Account options

Although neither HighPoint nor its IARs received the 12b-1 fees paid to the Clearing Firm, HighPoint and its IARs had a conflict of interest when ...

A peer shares their best execution compliance policies and procedures

A peer shares a copy of the firm's best execution checklist

Deutsche Bank Securities failed to seek best ex for its customers' orders tied to a dark pool it operated

SEC settlement notes review of P&Ps tied to share class selection, revenue sharing, markups, best ex and more

SRO reminds that firms need to be dialed in to what is considered 'prompt' execution in light of developing technology

A peer shares an Excel file the adviser uses to "score" its broker-dealers as part of its best execution review

A peer shares a great best ex tool