The latest sweep, fueled by a sharper focus on unusual trading patterns, would compel firms behind small-cap IPO offerings ...

The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new reports and data on broker-dealers, mergers and acquisitions (M&A), and business development ...

NEW YORK, Aug 20 (Reuters) - Nearly four years after Bernard Madoff admitted using his firm for a massive Ponzi scheme, a U.S. audit watchdog group says it is disturbed by problems that persist in ...

InvestmentNews recognizes the independent 5-Star Broker-Dealers of 2024 who have been honored after a comprehensive 10-week nationwide survey. A list of the Top 10 Broker-Dealers has been compiled ...

StraightPath Venture Partners, LLC and PMAC Consulting have recently reached settlements with the US Securities and Exchange Commission (SEC) following SEC enforcement actions against them. More ...

US corporate bond inventory at US broker dealers is now at nine-year lows as the Volcker Rule and Basle III requirements loom. Inventories of US corporate bonds with more than one year to maturity are ...

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 ...

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, ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

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 ...

The iShares U.S. Broker-Dealers & Securities Exchanges ETF (IAI) was launched on 05/01/2006, and is a passively managed exchange traded fund designed to offer broad exposure to the Financials - ...