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

Firm achieved "Wealthies" award for its approach to serving the complex needs of the world's wealthiest global families and family offices "We are thrilled and honored to receive this prestigious ...

A broker-dealer failed to reasonably supervise its registered representatives when making recommendations of certain variable rate structured products (“VRSPs”), including fixed to floating rate ...

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 ...

An annual PCAOB report details an increase in the percentage of broker-dealer financial reports with audit deficiencies and offers perspective on the nature of the deficiencies and advice for avoiding ...

With broker-dealers continually seeking new methods of enhancing efficiency and reducing costs, Evgeny Sorokin, chief product officer at Devexperts delves into the role that automation can play and ...

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 ...

On August 11, 2025, the U.S. Securities and Exchange Commission (SEC) brought two settled administrative proceedings against a broker-dealer and one of its registered representatives for violations of ...

The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, ...

The Securities and Exchange Commission has charged a registered broker-dealer with violations of Regulation Best Interest. First Horizon Advisors, LLC, was found to have not maintained and enforced ...

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 ...