Broker dealers

The Silicon Valley startup left users fuming by temporarily restricting certain purchases at the height of January’s mania over GameStop.

Using a Paycheck Protection Program loan to fund businesses outside your day job may be costly for brokers.

Following through on its staged approach to new advice standard, industry regulator expected to be less patient with the "laggards."

Letters sent to reps ask for extensive information on why they applied for a loan, how funds were received and used, and all compensation under the federal program.

Kathy Murphy played a key role in scaling the company’s retail advice channel.

A wave of corporations have made changes to their PAC giving since a mob supporting President Donald Trump stormed the Capitol last week.

The firm credited keeping its offices open during COVID-19 as a major selling point as FAs industrywide kept making moves and repapering their clients.

With 350 firms on its client roster, the acquisition of Flourish gives the insurer a springboard into the independent advisor market.

As part of a two-step deal involving Australian investment bank Macquarie Group, LPL will pick up 900 advisors and $63 billion in assets.

This year’s report on advisor compensation shows how RIAs and IBDs are attracting, retaining and rewarding talent.

Maybe not, says FINRA — but if you’re IM’ing, using slides during the virtual meeting, or recording it, probably yes.

“Platforms like this you would typically see at the larger broker-dealers and maybe the wirehouses,” says Gary Gallagher, the firm’s head of investment and managed solutions.

While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.

The firm is consolidating its broker-dealer and standalone RIA custody units into one division.

Based on the “forced experiment” of its remote periodic examinations of broker-dealers, the onsite portion “may not be necessary,” Robert Cook said.

Firms had problems related to equities, options and cryptocurrency trading as well as slow websites and mobile apps.

Regulators will conduct surveys and sweep exams to assess how your firm’s BCP handled — or didn’t — the COVID-19 pandemic

Previously, criteria focused on an investor’s wealth. Now, a broader group has access to investments that include private company offerings and certain private equity funds.

Yes, they’ll be going up in September — but not as much as you may have heard.

We need to let go of the idea that everyone should own and trade stocks. Some people are emotionally unfit to do so.