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

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

Schwab Advisor Services saw a 45% increase last year in the number of advisor teams transitioning from the independent broker-dealer channel to the RIA model.

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 ...

The industry group says current rules are outdated and overly broad, urging reforms to better reflect modern communication channels.

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

Understand what fiduciary duty entails and why it matters when selecting the right expert to manage your money Written By Written by Staff Money Writer, WSJ | Buy Side Molly Grace is a staff money ...

The Staff of the Division of Trading and Markets of the US Securities and Exchange Commission issued on May 15, 2025 responses to Frequently Asked Questions Relating to Crypto Asset Activities and ...

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 ...