On January 13, the SEC published to the Federal Register a final amendments to Rule 15c3-3 – the Broker-Dealer Customer Protection Rule – to ...

On January 13, a broker-dealer agreed to pay over $40 million to settle SEC charges that it failed to properly supervise its employees in the sale ...

Lack of freedom and limited investment choices may be driving advisors at broker-dealers to leave their firms this year.

The proposal to enhance transparency and guardrails for new technologies within broker-dealers is likely to be scrapped.

The U.S. Securities and Exchange Commission said Monday that two broker-dealers owned by Robinhood Markets (NASDAQ:HOOD) have ...

Janney has named Tony Miller as its new chief executive, in the wake of the brokerage's acquisition by KKR last year.

Four individuals charged in a multi-state insider trading scheme, allegedly yielding over $1 million in profits.

We named the largest firms and honored those making an impact in wealth management and technology, among other recognitions ...

LPL Financial (LPLA) announced that financial advisors Brian McGill, II, and Michael Hyser, have joined LPL Financial’s broker-dealer, RIA and ...

On Wednesday, the firm announced financial advisors Larry Forlenza and Carl Hanks, who previously oversaw nearly $430 million ...