TD Ameritrade RIA Education Center for Advisors
The custodian giant announced Monday a redesign of its online Education Center that allows advisors to earn continuing-education credits while also boosting their own knowledge.
More in Clearinghouses/ Custodians
A new RIA in North Carolina formed by three recently departed wirehouse advisors has chosen to affiliate with Raymond James' custodian group. more »
In particular, the commission is looking for cases when advisors trade on behalf of clients without written disclosure and consent, or fail to process a trade on the most favorable terms for their clients, says an enforcement division co-chief. more »
Only 42% of couples who have advisors work with them jointly, according to a new Fidelity study. Here's one way to fix the problem. more »
JPMorgan Chase and Goldman Sachs Group, the world’s biggest trading firms, had their revised capital plans for 2013 cleared by the Federal Reserve on Monday, a month before next year’s submissions are required. more »
The firms have been sanctioned by the SEC for violating the custody rule that requires them to meet certain standards when maintaining custody of their clients’ funds or securities. more »
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