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4 votes

Are discount brokers freely permitted to deny client orders for any exchange-listed stock or ETF?

Discount brokers make their money from commissions and margin interest, so it is generally in their interest to allow trading in securities where possible. However they have to balance it against ...
xirt's user avatar
  • 5,113
2 votes
Accepted

how long is it allowed for Brokerages to send updated 1099

per https://www.journalofaccountancy.com/newsletters/2015/nov/heres-how-to-fix-problems-caused-by-late-and-amended-forms-1099.html Brokerage firms can amend and issue corrected Forms 1099 at any time
Neil's user avatar
  • 1,065
2 votes

Are discount brokers freely permitted to deny client orders for any exchange-listed stock or ETF?

(I am neither a lawyer nor financial adviser; this neither legal nor financial advise.) TL;DR: Refusing to execute an order because of a broker's competing product would seem to be at least against ...
TripeHound's user avatar
  • 9,167
1 vote

Is a Brokerage obligated to sell "In the money" Warrants prior to expiration?

Although it's a security, a warrant is effectively a long term option. Assuming that there are no special exchange rate provisions, then at expiration, a call warrant warrant is worthless if below ...
Bob Baerker's user avatar
  • 76.9k
1 vote

Is human interaction required to open a discount brokerage account?

You definitely do not need human interaction to open an account at Schwab. You just need to provide a social security number and US drivers license. See http://www.schwab.com/public/schwab/investing/...
Jim Brody's user avatar
1 vote

Finding a Brokerage for Dollar-Cost Averaging

A lot has changed in the brokerage world since this question/answer were posted. For example, a lot more brokerages offer no-cost commission trades and have options for automated stock/ETF investing. ...
Max's user avatar
  • 111

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