Retail Investing
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State Regulators Survey Broker-Dealers on Reg BI Compliance
By Tracey Longo
August 24, 2021, Financial Advisor
State securities regulators are surveying broker-dealers registered in their states, asking the firms to answer detailed questions about their Regulation Best Interest …
Wavering US Investors Cut Leverage for First Time Since Start of Pandemic
By Eric Platt, Ortenca Aliaj, Madison Darbyshire, and Joe Rennison
August 26, 2021, Financial Times
Investors in the US have started to dial back their use of leverage for the …
SEC’s Gensler Taps Wall Street Critic Barbara Roper as Senior Adviser
By Paul Kiernan
August 25, 2021, The Wall Street Journal
Securities and Exchange Commission Chairman Gary Gensler named an outspoken investor-protection advocate to his inner circle of advisers Wednesday, the …
Crypto Trading Surges on Robinhood App
CNBC’s Kate Rooney reports on Robinhood’s first earnings announcement and how crypto trading is fueling activity on the app.…
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Brokers Take Their Business to the Bahamas, Motorcycle Rallies in Remote Era
By Miriam Rozen
August 17, 2021, Advisor Hub
A motor boat plowing through waters near the Bahamas. A Harley-Davidson at the Sturgis motorcycle rally in western South Dakota. Or just …
Delta Variant an Obstacle to In-Person Meetings for Many: Poll
By Rita Raagas De Ramos
August 10, 2021, Financial Advisor IQ
Slightly less than half of the respondents to an FA-IQ straw poll said the latest developments with the Delta …
Reddit Crypto Traders Rush for Riches Before the Pros Invade
By Justina Lee
August 5, 2021, Bloomberg
Matthew Tweed is worlds apart from Wall Street traders. The 20-year-old finished high school just two years ago, never went to college and …
Mohamed El-Erian on Retail Trading: We Want Broader Participation in the Stock Market
Mohamed El-Erian, President, Queens’ College, Cambridge University, Allianz Chief Economic Adviser, joined Yahoo Finance’s Julie Hyman to discuss retail trading and the Robinhood IPO.…
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How Robinhood Transformed Retail Trading Ahead of Its IPO | WSJ
The twists and turns of the online brokerage’s path to a public offering The brokerage app Robinhood has transformed retail trading. WSJ explains its rise amidst a series of legal …
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There’s Still No Such Thing as a Free Lunch, Regulators Warn
By James Langton
July 13, 2021, Investment Executive
While the emergence of “zero-commission” brokers has made investing more accessible to retail investors, underlying practices — such as buying and selling …
