Wed, Nov 12, 2:30 PM, Zacks
TD Ameritrade's (AMTD) October Client Trades Surge 17% - Analyst Blog
Omaha, NE-based online brokerage firm TD Ameritrade Holding Corporation (AMTD) came out with its average client trades per day of 494,000 in its activity report for October. This jumped 17% from the prior month and 18% compared with the prior-year period.
Tue, Nov 4, 6:20 PM, Zacks
SEC Fines 13 Brokerage Firms Over Puerto Rico Junk Bonds - Analyst Blog
On Monday, the Securities and Exchange Commission (SEC) penalized 13 brokerage firms for violation of a rule sanctioned for the protection of retail investors in the municipal securities market. The fines range from $54,000 to $130,000.