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

Stifel Financial Corp. continued its long-term move away from the independent broker-dealer industry when it said on Monday ...

Discover how inter-dealer brokers facilitate large financial transactions, improve market liquidity, and offer anonymity in OTC markets, benefiting financial institutions.

The independent broker-dealer’s new 13-story San Diego headquarters is the nation’s largest net-zero energy building, says the firm. The independent broker-dealer increased its financial advisor rep ...

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 ...

According to recent research, the average financial advisor in the United States is in their late 50s, and around 40% are ...

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 ...

ZERO Group, Inc., a key player focused on blockchain and tokenization for capital markets, and Voatz have announced a ...

The Dutch neobank had applied for a banking license in 2023 but withdrew that bid over a “difference of views” among the OCC, ...

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 ...