Choosing which broker-dealer to affiliate with is one of the biggest decisions you'll make as an independent financial ...

Transitioning from a broker-dealer to an RIA means moving from earning a commission for buying and selling products to a fee-based professional advice model. There are two ways to form a full-service ...

Wolfpack Financial Inc. ("Wolfpack") today announced that its subsidiary, Wolfpack Brokerage Services LLC ("WPBS"), has ...

Most large broker-dealers hope to lure advisors into their ranks (or hold onto them) by boasting about their size. They warn reps that there are perils to going to a small B-D—that smaller firms lack ...

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 ...

As momentum builds around defined contribution plans driven by the convergence of wealth, retirement and benefits at the workplace, the DC industry gathered at a high-level roundtable hosted by ...

The SEC recently amended Exchange Act Rule 17a-4 by adopting new recordkeeping requirements for broker-dealers. Most notably, the SEC will no longer require broker-dealers to maintain records in ...

Two enduring characteristics of the retail securities business are its focus on sales and its cyclicality. While the products and services sold by registered representatives have changed over the ...

A discussion of key issues that a broker-dealer transacting in cryptocurrency and other digital assets must consider when determining how to comply with US federal securities laws and Financial ...

FLASH FRIDAY is a weekly content series looking at the past, present and future of capital markets trading and technology. FLASH FRIDAY is sponsored by Instinet, a Nomura company. On Friday, February ...

Consumer confusion and disinformation surrounding the differences between Broker Dealers and Registered Investment Advisors has peaked and customers are often misled about the conflicting roles and ...

Firms are going to have to figure out how to grow their way to higher valuations.” The fear is that AI would erode the profits in the wealth management industry, which for twenty years has seen a ...