Displaying 341 results
SEC, Finra warn investors not to base stock decisions on social sentiment
Social media posts can have hidden agendas, regulators said
Conflicting tax information creates ‘nightmares’ for some investors
Brokerage tax statements don't always reflect all of an investor's accounts or original costs.
TD Ameritrade cut marketing because ‘fish weren’t biting,’ CEO says
Online broker sees headwinds created by lower rates and less trading.
Adviser fintech moving from the back office to client interactions
Voice or facial recognition technology could be used to help advisers formulate a client's true risk profile.
RIAs needn’t fear the large custodians
While the "Big Four" custody firms have in-house financial consultants, any poaching of RIAs' clients could interfere with the substantial business they do with RIAs.
Client onboarding presents a critical first impression
The trick is finding the balance of smooth automation combined with the human touch
Q4 revenue strong at IBDs, online brokers despite market declines
Increased trading and higher interest rates helped the firms weather volatility, Moody's says.
Schwab, Fidelity expand commission-free ETF trading
Both will now offer more than 500 exchange-traded funds on a commission-free basis.
TD won’t compete with RIAs, execs say
Company won't enter businesses that involve "being all things to all people," such as financial advisory branch offices, Nally says.
Don’t be afraid to raise advisory firm fees
Firms that increase their fees have virtually the same average retention rate as firms that don't, consultant says.
Millennials turning to automated investing in response to market volatility
Older generations still prefer to work with a financial adviser to mitigate risk.
TD Veo platform one step closer to fully digital account opening
New account opening process falls short of what advisers call true "straight-through processing" of new accounts.
TD Ameritrade partners with popular Chinese app WeChat
The program will allow U.S. users of WeChat to access market data and accounts, though privacy concerns surround the app.
TD Ameritrade announces three finalists in its first fintech competition
The three finalists also win a trip to TD Ameritrade's National LINC conference in February, where they will compete for the top spot.
TCA by E*Trade lures Edelman Financial Engines with promise of client referrals
Access to clients through E*Trade's 30 branch offices drew the attention of RIA Edelman Financial Engines.
TD limits number of advisers invited to conference — and not everybody likes it
Only custodial clients with $75 million or more in AUM will receive an invitation.
More big names in financial services enter the cryptocurrency world
TD Ameritrade and Ric Edelman are the latest to invest in digital asset companies.
TD Ameritrade fined $500,000 for failing to report advisers’ suspicious activities
Activities cited include suspicious trading, questionable transfers, and potentially false and misleading statements.
Envestnet Tamarac partners with Schwab, TD on digital account openings
Auto-filling documents designed to make onboarding more efficient for RIAs and more convenient for clients.
TD Ameritrade adds socially aware portfolios to retail robo adviser
The firm expects to provide ESG investing without sacrificing performance.
