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. "Overall, in 2023 we ...
On August 12, the SEC issued published a settled enforcement action order against a broker-dealer for failing to monitor, investigate, and file Suspicious Activity Reports (SARs) between March 2020 ...
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 ...
In October of this year, the Israel Securities Authority published a memorandum of law aimed at regulating broker-dealer activities in Israel. Public comments will be accepted until 21/11/24. At issue ...
Lightyear Capital LLC is one of the leading firms in pursuit of the broker-dealers that comprise most of the ING Advisors Network Inc., according to multiple investment banking and industry sources.
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 ...
Wall Street broker-dealers posted profits of $11.3 billion in the first half of 2015, up 29 percent year-on-year and the strongest first half since 2011. NASAA President Judith Shaw says the ...
Advisory firms have spent a copious amount of time this year preparing for the Securities and Exchange Commission’s telegraphed focus on Regulation Best Interest violations, particularly the treatment ...
The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in combined ...
If the Municipal Securities Rulemaking Board won't scrap a one-minute trade reporting initiative entirely, it should at least allow the timeframe for reporting manual trades to remain at 15 minutes, ...
Citadel Securities is pushing the SEC to apply full exchange and broker-dealer requirements to DeFi protocols, rejecting ...
I reiterate my buy rating on IAI, as broker-dealer stocks show strong momentum and relative strength versus other Financials in 2025. IAI’s diversified portfolio, solid long-term earnings growth, and ...
Some results have been hidden because they may be inaccessible to you
Show inaccessible results