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.

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 ...

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

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

The industry group says current rules are outdated and overly broad, urging reforms to better reflect modern communication channels.

The Staff’s most recent actions continue to set the stage for notice-and-comment rulemaking long-awaited by the digital asset industry. On May 15, 2025, the Securities and Exchange Commission’s ...

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, ...

John Peterson wanted his small financial advisory firm, CWM Financial Group in Gaithersburg, Md., to grow but he had reached his limit for handling new clients. He turned to a larger firm for help.