Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would ...

Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack ...

FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This marks the first enforcement action under FINRA Rule 4330, which governs ...

For broker dealers who were dreading the full implementation of the Fixed Income Quotation rule, SEC rule 15c2-11, staff once ...

Did you know that, in most cases, you must start taking required minimum distributions (RMDs) from your retirement accounts ...

Jeremy Robson was elected president of Ameritas Investment Company, LLC (AIC) and Ameritas Advisory Services, LLC (AAS) Ryan ...

Policygenius examines the simultaneous popularity and mystery surrounding annuities in an uncertain American economy and ...

Our estimated market share of U.S. high-grade and U.S. high-yield TRACE portfolio trading was 14.7% in January 2025, down from 16.7% in December 2024. Portfolio trading represented approximately 9% of ...

Issue selection within multiple sectors, specifically in transportation, special tax, and leasing, was beneficial. Read more ...

Duration exposure was the largest detractor from performance as rates moved sharply higher over the quarter. Read more here.

In today's digital age, retirees are increasingly targeted by financial scams promising to boost their benefits.