In the future, will people have relationships with their financial advisors or with the advisors’ broker-dealers, custodians and other affiliated businesses? It’s an uncomfortable question. Clients ...

Financial advisors affiliated with a broker-dealer are far more likely than other advisors to say they will definitely leave their firm this year. That was among the findings in this month's Financial ...

The PCAOB issued its annual report Thursday on its audits of brokers and dealers and is seeing at least one deficiency in 70% of the 103 audit engagements it reviewed in 2023. "Overall, in 2023 we ...

There’s a concept in evolution called “punctuated equilibrium,” when long periods of stability and slow change are interrupted by cataclysms such as rising sea levels or mass extinction events that ...

An annual PCAOB report details an increase in the percentage of broker-dealer financial reports with audit deficiencies and offers perspective on the nature of the deficiencies and advice for avoiding ...

Welcome to "Show Me Your Stack," a series from Financial Planning in which we interview those who deliver financial advice to learn what tools they rely on to make it happen. Rising client ...

VVV Research and Development Inc. conducted a national survey on behalf of broker-dealer Cambridge Investment Research Inc. In the survey, 648 representatives were surveyed about their experience with ...

The Public Company Accounting Oversight Board (PCAOB) has published a new staff document titled “Broker-Dealer Audit Focus: Review Engagements Regarding Exemption Reports”. The publication is part of ...

The Public Company Accounting Oversight Board reported that deficiency rates remain high across examination, review and audit engagements for auditors of broker-dealers. In the 2024 edition of its ...

If the Municipal Securities Rulemaking Board won't scrap a one-minute trade reporting initiative entirely, it should at least allow the timeframe for reporting manual trades to remain at 15 minutes, ...

The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, ...