Compare broker-dealers and RIAs to understand their roles, regulations, and which suits your investment needs. Learn the key ...

In the future, will people have relationships with their financial advisors or with the advisors’ broker-dealers, custodians and other affiliated businesses? It’s an uncomfortable question. Clients ...

Broker-dealer firms are worried about increased audit costs in the wake of the Bernard Madoff scandal. The Securities and Exchange Commission at the end of 2008 let lapse an exemption that allowed ...

The industry group says current rules are outdated and overly broad, urging reforms to better reflect modern communication channels.

The panel emphasizes the need for financial firms, particularly asset managers and broker-dealers, to strengthen their compliance and self-reporting practices in light of increased scrutiny from the ...

For many financial advisors, dissatisfaction with a current broker-dealer eventually raises the question: is it time to make a move? The recent trend of broker-dealer consolidation through mergers and ...

Financial advisors affiliated with a broker-dealer are far more likely than other advisors to say they will definitely leave their firm this year. That was among the findings in this month's Financial ...

Despite limited regulatory requirements to intervene, broker-dealers face exposure to discipline and liability claims when elderly clients fall victim to financial exploitation. In an environment of ...

A second company, tZero Group Inc., said it's achieved status as a fully registered U.S. broker dealer under a rule allowing for crypto firms to join those ranks, following a path previously blazed by ...