In the complex landscape of finance and investment, broker-dealers play a pivotal role, acting as intermediaries in the buying and selling of securities. They represent the heartbeat of the financial ...

As markets swooned and interest rates surged in 2022, at least one industry was likely quietly rejoicing: Broker-dealers, which have been facing combative regulators and fighting trench warfare with ...

Two enduring characteristics of the retail securities business are its focus on sales and its cyclicality. While the products and services sold by registered representatives have changed over the ...

Yet another insurance company has decided to ditch the independent-contractor broker-dealer business, citing as a factor pressures from regulators when a firm sells proprietary products. Steven ...

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. Processing Content ...

The SEC issued a warning after finding issues, including advisers not properly disclosing conflicts of interest or maintaining written policies. The Securities and Exchange Commission issued a risk ...

NEW YORK, NY - January 6, 2026 (NEWMEDIAWIRE) - tZERO Group, Inc., a leading innovator in blockchain-powered multi-asset infrastructure, today announced in its first news release of 2026 that it is ...

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 ...