The SEC wants to eliminate the need for investors to have to search two databases to find information on broker-dealers and investment advisors.

Wealth managers rely on platforms such as broker/dealers and custodians, and over two-thirds have considered switching their current arrangements, though only 17.1% are actively planning to make ...

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

Broker dealers are divided over whether small firms should be dealt more relaxed regulation and compliance standards, or be subject to uniform standards that treat large Wall Street banks and single ...

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 ...

LPL Financial (LPLA) announced that Shawn Gentle of Gentle Family Wealth Partners has joined LPL Financial’s broker-dealer and Registered ...

Broker-dealer advocates are calling for an amendment to a 2001 Financial Industry Regulatory Authority (FINRA) rule, arguing that the current regulation fails to reflect the characteristics and ...

Rule amendments finalized this week will require broker/dealers to share more information on the quality of stock order executions and produce a summary report. The Securities and Exchange Commission ...

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, ...