As markets swooned and interest rates surged in 2022, at least one industry was likely quietly rejoicing: Broker-dealers, which have been facing combative regulators and fighting trench warfare with ...

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

Oyster, a full-service consulting firm providing compliance, risk, operational, and technology advisory services for the ...

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 ...

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 ...

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 ...

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 ...

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 ...

The Public Company Accounting Oversight Board saw high rates of deficiency when inspecting audits of brokers and dealers last year, with little to no improvement over prior years, according to a new ...