New Capacity Rule for Online Brokers?
Traders Magazine, March, 2001 by William Hoffman
A new Securities and Exchange Commission report offers online broker dealers a checklist designed to educate investors about conventional trading practices.
There is nothing controversial and no apparent smoking guns. In fact, the report is practically boring.
"Examinations of Broker Dealers Offering Online Trading: Summary of Findings and Recommendations" reviews the SEC findings "in light of the phenomenal increase in online trading in recent years," according to a statement released by the commission.
"Most of this [report] has to do with problems that arose as volumes were increasing at a very rapid rate," according to Jim Marks, an analyst who covers the online broker dealers for Credit Suisse First Boston. "As that growth of volume has abated, so have...
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