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 ...

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 ...

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 ...

Consumer confusion and disinformation surrounding the differences between Broker Dealers and Registered Investment Advisors has peaked and customers are often misled about the conflicting roles and ...

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 ...

As more retail investors enter the market, regulators have moved to raise the independent broker/dealer standard of conduct beyond mere “suitability” obligations. Broker/dealers and their ...

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 ...

FLASH FRIDAY is a weekly content series looking at the past, present and future of capital markets trading and technology. FLASH FRIDAY is sponsored by Instinet, a Nomura company. On Friday, February ...

The Public Company Accounting Oversight Board saw high rates of deficiency when inspecting audits of brokers and dealers last year, with little to no improvement over prior years, according to a new ...