Discover how inter-dealer brokers facilitate large financial transactions, improve market liquidity, and offer anonymity in OTC markets, benefiting financial institutions.

Each year, the team here at Financial Planning analyzes wealth management data from dozens of angles to shine light on the state of the industry. Over the last year, we have ranked registered ...

An aging base of brokers, many with even older clients, is prompting many large institutions to scramble to figure out how to prepare for the inevitable and retain the business for generations to ...

Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...

The Public Company Accounting Oversight Board released a new staff publication aimed at auditors of broker-dealers who are performing review engagements involving exemption reports. The publication, ...

The Dutch neobank had applied for a banking license in 2023 but withdrew that bid over a “difference of views” among the OCC, ...

The Financial Industry Regulatory Authority Inc. on Friday said it had suspended for four months and penalized a California broker, Linda J. Wimsatt, $31,000, plus interest, for violating Regulation ...

In October of this year, the Israel Securities Authority published a memorandum of law aimed at regulating broker-dealer activities in Israel. Public comments will be accepted until 21/11/24. At issue ...