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

Oyster, a full-service consulting firm providing compliance, risk, operational, and technology advisory services for the financial services industry, is continuing to strengthen its Broker-Dealer ...

A statement this month from U.S. Securities and Exchange Commission (“SEC”) Division of Trading and Markets unlocked a particularly critical part of securities laws for broker-dealers looking to ...

Explore the full scope of the survey results, download the report. Sponsored by Kestra Financial Read the findings of our latest study, sponsored by Kestra Financial, that asked financial ...

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, ...

A struggling broker-dealer’s efforts to close all of its retail customer accounts by applying theories of abandonment, including mischaracterizing securities as “worthless” and making misstatements ...

As a natural extension of its digital asset securities custodial business, tZERO's Special Purpose Broker Dealer can now broker transactions for its customers on a non-custodial basis SALT LAKE CITY, ...

Securities America, a division of Ameriprise (NYSE: AMP), faced legal and financial peril this week due to failed private placements, but it is only the latest in a series of cases that have cropped ...

Lightyear Capital LLC is one of the leading firms in pursuit of the broker-dealers that comprise most of the ING Advisors Network Inc., according to multiple investment banking and industry sources.

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, ...

Michael Decker of Bond Dealers of America. Broker-dealer groups support Securities and Exchange Commission approval of the Municipal Securities Rulemaking Board's multi-year rate card proposal, while ...