Advisor Advocate - News & Information

All about Maxit™ (Cost Basis) – ScottradePro February Continuing Education


Don’t miss this ScottradePro continuing education seminar – “All about Maxit (Cost Basis)” which will be held on Feb. 17, 2011 from 4:15-5:15 p.m. (ET).

PRessing Opportunities by AdvisorPR — February Presentation


AdvisorPR will be hosting a presentation on Feb. 24 at 2 p.m. ET titled “PRessing Opportunities – How to get the interivew and what to do AFTER to make the biggest impact.”

2011 “T3″ Technology Tools for Today Conference


Don’t miss a technology conference geared toward financial professionals. Join us for the 2011 “T3″ Technology Tools for Today Conference Feb. 16-19 in Weston, Fla.

IRS Extends Tax-Filing Deadline


The IRS has extended the deadline for filing 2010 tax returns until Monday, April 18. That gives a little extra time for clients needing to make 2010 IRA contributions?

SEC extends some deadlines for Part 2B of Form ADV


The SEC recently announced a new deadline for delivering Form ADV, Part 2B to advisory clients for advisors whose fiscal years fall within certain windows.

Form ADV Delivery Requirements


Get up to date on the new Form ADV Part 2 brochure.

Disclosure Obligation Does Not End With Form ADV


Have you satisfied all of your disclosure obligations? There are some things you might want to consider before drafting your brochure.

Watch Out for Outside Business Activities and Private Securities Transactions


FINRA is keeping a close eye on registered reps and their outside business activities. Read about how this might impact you and your firm.

2011 Market and Bank Holiday Schedule


Mark your calendars for this year’s market and bank holidays. Here is the complete list of dates that the markets and banks will be closed.

Guide to Cost Basis


You can make this PDF file your comprehensive guide to the new tax-reporting law taking effect in 2011.


Brokerage Products and Services offered by Scottrade, Inc. – Member FINRA and SIPC.

Any specific securities, or types of securities, used as examples are for demonstration purposes only. No information on this web site should be considered a recommendation or solicitation to invest in, or liquidate, a particular security or type of security.

Investors should consider the investment objectives, risks, charges, and expenses of mutual fund carefully before investing. A prospectus contains this and other information about the fund and is available through www.scottrade.com or through a Scottrade branch office. The prospectus should be read carefully before investing. No transaction fee (NTF) funds and Load Waived funds are subject to the terms and conditions of the program. Scottrade is compensated by the funds participating in these programs through recordkeeping, shareholder, or SEC 12b-1 fees.

Investors should consider the investment objectives, charges, expense, and unique risk profile of an Exchange Traded Fund (ETF) carefully before investing. Leveraged and Inverse ETFs may not be suitable for all investors and may increase exposure to volatility through the use of leverage, short sales of securities, derivatives and other complex investment strategies. These funds' performance will likely be significantly different than their benchmark over periods of more than one day, and their performance over time may in fact trend opposite of their benchmark. Investors should monitor these holdings, consistent with their strategies, as frequently as daily. A prospectus contains this and other information about the ETF and should be obtained from the issuer. The prospectus should be read carefully before investing.

Margin trading involves interest charges and risks, including the potential to lose more than deposited or the need to deposit additional collateral in a falling market. The Margin Disclosure Statement and Agreement (PDF) is available for download, or it is available at one of our branch offices. It contains information on our lending policies, interest charges, and the risks associated with margin accounts.

Options involve risk and are not suitable for all investors. Detailed information on our policies and the risks associated with options can be found in the Scottrade Options Application and Agreement, Brokerage Account Agreement, and by downloading the Characteristics and Risks of Standardized Options and Supplements (PDF) from The Options Clearing Corporation, or by requesting a copy from your local branch offices. Market volatility, volume, and system availability may impact account access and trade execution. Supporting documentation for any claims will be supplied upon request.

Online market and limit stock trades are just $7 for stocks priced $1 and above.

Market volatility, volume, and system availability may impact account access and trade execution.

Testimonials may not be representative of the experience of other clients and are no guarantee of future performance or success.