Know Before You Invest: Initial Coin Offerings

Initial Coin Offerings (ICOs) are becoming an increasingly popular platform for raising capital these days, especially within the emerging tech industry. ICOs allow companies to offer virtual coins in exchange for capital contributions from investors. You may be more familiar with virtual currency under names like Bitcoin, Ethereum, or one of the many other forms […]

What to Know About Shortened Securities Transaction Settlement Cycles

Last week, the Securities and Exchange Commission (SEC) amended standing rules regarding broker-dealer securities transaction settlement cycles. The new rules shorten the amount of time between when an investment transaction is placed and when it is actually processed. Previously, the transaction settlement cycle was set as “T+3”. This refers to the time, in days, that […]

Investors and Traders Await Interest Rate Hikes

Rate hikes on the way The Federal Reserve recently announced that interest rate hikes likely, causing trading and investing to slow. Fed Chairwoman, Janet Yellen will most likely announce increases later this week, with several more expected throughout 2017. Rates will likely increase 0.75-1.00 percent, initially, according to a Reuters report. The Fed’s announcement considerably […]

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 […]

Why it Matters That NYSE is Expanding Securities Trading

By the end of 2017, the New York Stock Exchange (NYSE) will open up its trading floor to all U.S. securities. Currently, NYSE restricts securities trading on the floor to the top 3,166 stocks, according to a Reuters report. The change means that, now, up to 8,600 securities can be traded by floor brokers. So, […]

Inexperienced Investors Targeted in Day-Trading Scam

Last week, the Securities and Exchange Commission (SEC) charged two individuals in a fake day-trading scheme targeting inexperienced investors. According to the SEC’s press release, the two men in question scammed investors out of more than $1.4 million through the operation of a false day-trading investment firm. Luring Investors with Day-Trading The scammers lured investors […]

Settling Broker-Dealer/Customer Disputes

Ever wonder about how customer disputes are resolved between investors and broker-dealers? Is a lawsuit necessary? Do you need to hire a lawyer? Settling Customer Disputes Usually, disputes over securities brokerage/trading are settled through arbitration as opposed to traditional litigation. Though arbitration is the primary form of dispute resolution, mediation may also be used as […]

Financial Securities Firm Left Customers Vulnerable

Insecure Financial Securities Last week, the Financial Industry Regulatory Authority (FINRA) handed out a $650,000 fine to a broker-dealer in the Lincoln Financial Network. The industry watchdog group found that the independent broker-dealer in Lincoln Financial’s network allowed thousands of customers’ data to be exposed to foreign hackers. Similarly FINRA also found that Lincoln Financial Securities Corp. […]

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