retail investors Archives - The Industry Spread

FXCM Launches Equal Weighted Crypto Basket for Retail Investors

October 16, 2019

The leading international provider of online foreign exchange trading, CFD trading, and cryptocurrencies has introduced a crypto basket to its retail customers, under the name of CryptoMajor and made up of the 5 cryptocurrencies currently traded on FXCM’s platform: Bitcoin, Ripple, Litecoin, Bitcoin Cash and Ether.

DriveWealth Opens U.S. Equity Markets to Retail Investors in India

July 27, 2019

DriveWealth has signed yet another deal to give retail investors across the world access to the U.S. equity markets. The U.S. based leader in global digital trading technology remains on its path of expansion with the recently announced partnership with Vested Finance, a U.S. registered investment adviser (RIA) serving the retail investor market in India.

Some AFS Licensees May be Breaking Overseas Laws

April 14, 2019

Australian financial service (AFS) licensees that offer OTC derivatives to retail investors located in some overseas jurisdictions may be breaking overseas laws providing unlicensed or unauthorised services in those jurisdictions.

BB&T to Return More Than $5 Million to Retail Investors and Pay Penalty Relating to Directed Brokerage Arrangements

March 8, 2019

The Securities and Exchange Commission today announced that BB&T Securities has agreed to return more than $5 million to retail investors and pay a $500,000 penalty to settle charges that a firm it acquired misled its advisory clients into believing they were receiving full service brokerage services in-house at a discount while significantly less expensive options were available externally.

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