On October 23, FINRA announced that it is investigating broker-dealers that have helped small companies based in China and other foreign ...

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 ...

VVV Research and Development Inc. conducted a national survey on behalf of broker-dealer Cambridge Investment Research Inc. In the survey, 648 representatives were surveyed about their experience with ...

In today’s increasingly complex regulatory environment, broker-dealers (BDs) face mounting pressure to implement effective surveillance technology to detect and prevent violations. However, navigating ...

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 ...

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 ...

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 ...

WASHINGTON--(BUSINESS WIRE)--FINRA announced today that it has sanctioned four firms—M1 Finance LLC, Open to the Public Investing, Inc., SoFi Securities LLC, and SogoTrade, Inc.—a combined $2.6 ...

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 ...