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Chip Stapleton is a Series 7 and Series 66 license holder, CFA Level 1 exam holder, and currently holds a Life, Accident, and Health License in Indiana. He has 8 years experience in finance, from ...

The Financial Industry Regulatory Authority (FINRA) recently issued a Regulatory Notice (Notice) reminding firms of their obligations with respect to best execution and payment for order flow. 1 These ...

Robinhood, the uber-popular brokerage, helped usher in a new era of commission-free trading. It pushed established financial institutions, such as Charles Schwab and Fidelity, to follow suit. Sadly, ...

For years, paying for order flows allowed firms to centralize customers’ orders for another firm to execute. Such allowed smaller firms to use economies of scale of larger firms. Such enables small ...