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

Not that long ago there were 6,000 broker/dealers registered with FINRA. Now there are 4,000. Is there a future for the small and mid-sized broker/dealer? Bill Singer speaks to Martin Kaplan, partner ...

Private-equity funds continue to show interest in small to midsize financial services firms — this time with such a buyer snapping up a small clearing firm and making a bid for a holding company for ...

Upset by what they see as government bailouts of banks that still aren't lending money, several small broker-dealers are floating the idea of getting government money to smaller firms. They say it ...

FSI officials doubt its efforts will stop the Department of Labor from imposing stringent standards that would discourage many broker-dealers from handling small IRAs. At its annual meeting in San ...

As of 2024, the number of Commission-registered broker-dealers has declined by nearly 30% from 4,758 in 2010 to 3,341, signaling significant industry consolidation, according to a new report by the ...

What You Need To Know: The staff of the Securities and Exchange Commission’s (SEC) Division of Trading and Markets (the Staff) releases frequently asked questions (FAQs) addressing the Staff’s views ...

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 ...

Given the rapid growth in private securities markets, broker-dealers are increasingly being provided with opportunities to facilitate private secondary transactions. “Section 4(a)(1½)” offers ...

If the Municipal Securities Rulemaking Board won't scrap a one-minute trade reporting initiative entirely, it should at least allow the timeframe for reporting manual trades to remain at 15 minutes, ...

NEW YORK (Reuters) - The Financial Industry Regulatory Authority has fined five small broker-dealers for understating commissions, but more than compensating for that by overcharging handling fees.