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 ...

Transitioning from a broker-dealer to an RIA means moving from earning a commission for buying and selling products to a fee-based professional advice model. There are two ways to form a full-service ...

Choosing which broker-dealer to affiliate with is one of the biggest decisions you'll make as an independent financial ...

Regulation T sets rules for broker-dealer credit limits and governs cash accounts. Understand how it limits investor credit ...

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 ...

In mid-February the wealth management platform Altruist launched an AI tool named Hazel that reads 1040s, pay stubs, and custodian data and emails and comes up with tax strategies for clients. Lots of ...

As momentum builds around defined contribution plans driven by the convergence of wealth, retirement and benefits at the workplace, the DC industry gathered at a high-level roundtable hosted by ...

In today’s increasingly complex regulatory environment, broker-dealers (BDs) face mounting pressure to implement effective surveillance technology to detect and prevent violations. However, navigating ...

A discussion of key issues that a broker-dealer transacting in cryptocurrency and other digital assets must consider when determining how to comply with US federal securities laws and Financial ...

VVV Research and Development Inc. conducted a national survey on behalf of broker-dealer Cambridge Investment Research Inc. In the survey, 648 representatives were surveyed about their experience with ...

The SEC recently amended Exchange Act Rule 17a-4 by adopting new recordkeeping requirements for broker-dealers. Most notably, the SEC will no longer require broker-dealers to maintain records in ...

Oyster, a full-service consulting firm providing compliance, risk, operational, and technology advisory services for the ...