Nearly every registered rep these days calls himself a financial advisor, even if he is better described as, well, a Series 7-holder—a person who sells financial products. As most know, true financial ...

The Public Company Accounting Oversight Board posted a staff report on testing transactions between broker-dealers and ...

Broker-dealers are increasingly being selective about the non-traded REITs they include on their investment platforms today, and they’re subjecting those investments to greater scrutiny. “There are ...

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. Processing Content ...

With today's wealth management space becoming increasingly commoditized, broker-dealers need smart ways to grow and protect their business. One of the biggest growth challenges? Empowering advisors to ...

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 ...

Michael Decker of Bond Dealers of America. Broker-dealer groups support Securities and Exchange Commission approval of the Municipal Securities Rulemaking Board's multi-year rate card proposal, while ...

As a natural extension of its digital asset securities custodial business, tZERO's Special Purpose Broker Dealer can now broker transactions for its customers on a non-custodial basis SALT LAKE CITY, ...

tZERO's Special Purpose Broker Dealer (one of two in the US) and Tokenization Unit continue to lead compliant Digital Securities end-to-end lifecycle, new capabilities to enhance transparency, ...

For the second time in less than two years, mid-sized independent broker-dealer Realta Equities has changed its leadership, with industry compliance veteran Eizabeth “Liz” Legacy becoming the interim ...