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

Not that long ago there were 6,000 broker/dealers registered with FINRA. Now there are 4,000. Is there a future for the small and mid-sized broker/dealer? Bill Singer speaks to Martin Kaplan, partner ...

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

FSI officials doubt its efforts will stop the Department of Labor from imposing stringent standards that would discourage many broker-dealers from handling small IRAs. At its annual meeting in San ...

Private-equity funds continue to show interest in small to midsize financial services firms — this time with such a buyer snapping up a small clearing firm and making a bid for a holding company for ...

What You Need To Know: The staff of the Securities and Exchange Commission’s (SEC) Division of Trading and Markets (the Staff) releases frequently asked questions (FAQs) addressing the Staff’s views ...

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 ...

As of 2024, the number of Commission-registered broker-dealers has declined by nearly 30% from 4,758 in 2010 to 3,341, signaling significant industry consolidation, according to a new report by the ...

Dutch online bank Bunq said on Monday that it had received a licence to operate as a broker-dealer in the United States, part of a drive to expand outside of Europe.

State securities regulators opened 8,833 active investigations in 2024, including 4,937 new cases and 3,896 ongoing, and initiated 1,183 enforcement actions. The actions resulted in more than $259 ...

NEW YORK (Reuters) - The Financial Industry Regulatory Authority has fined five small broker-dealers for understating commissions, but more than compensating for that by overcharging handling fees.