Limiting risk exposure Risks emerge when clients sell options, short stocks, and take advantage of a leverage provided by a broker. Different broker-dealers have their own criteria for measuring an ...

The best online brokers for beginners will offer novice users a cost-effective platform that provides good customer service ...

offers investment advisory services in its capacity as an SEC-registered investment adviser and brokerage services in its capacity as an SEC-registered broker-dealer. Investment advisory services and ...

In some cases, firms are creating tailored exception reports taking into account the different characteristics of the information. Broker-dealers are expanding the scope of instruments they review ...