Tips for Tracking Your Investment Brokerage Activity

Many passive investors are happy just leaving their investments at the hands of their brokerage firms. Many investors opt review brokerage activity via a monthly overview statement rather than from a hands-on approach. Broker-dealers handling investment accounts are free to make most decisions on quantity and frequency of investment securities. Although ostensibly broker-dealers must have … Continue reading Tips for Tracking Your Investment Brokerage Activity »

SEC Gets a Hand in Brokerage Oversight

Brokerage oversight is getting a fresh pair of eyes This week, the Securities and Exchange Commission (SEC) indicated that it would be calling on a need for more oversight from its financial regulation partner, the Financial Industry Regulatory Authority (FINRA). The decision to shift responsibility comes with an SEC initiative to devote more energies towards … Continue reading SEC Gets a Hand in Brokerage Oversight »