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 ...

Priority Financial Group, with an RIA of $3.1 billion in assets, is moving its broker-dealer operations to United Planners' ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

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, ...

Concorde announced today that licensed securities professional Ehud Gersten has joined the firm's broker-dealer, Concorde Investment Services. Gersten specializes in tax-advantaged investment ...

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 ...

Asset managers struggle to find shelf space for newly launched ETFs on broker/dealer platforms, including actively managed ...

tZERO's Special Purpose Broker Dealer (one of two in the US) and Tokenization Unit continue to lead compliant Digital Securities end-to-end lifecycle, new capabilities to enhance transparency, ...

On May 15, 2025, the staff of the Securities and Exchange Commission (“SEC”) Division of Trading and Markets (the “Staff”) published responses to certain frequently asked questions (“FAQs”) relating ...

The Securities and Exchange Commission has proposed new rules that would restrict the bonuses given at broker-dealers and investment advisors with more than $1 billion in assets. Finra levied $45 ...