Broker dealers

Even as Nevada, Maryland and New Jersey press ahead with their own proposals, the IAA seeks exemption for SEC-registered advisors.

Digital tools will not only allow advisors to serve more clients, they can help advisors charge for services with greater accuracy.

There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.

The decision by Carson Group’s CEO came after a two-year examination of the business revealed some changes that needed to be made.

The regulator says it will keep an eye on issues like cybersecurity and cryptocurrencies.

The regulator details numerous (and familiar) compliance failures in its annual summary of exam findings.

The regulator bills the move as the latest effort to bring transparency to the challenge of unpaid awards.

Enforcement actions against IAs and reps at the state level soar in 2017, according to NASAA report.

Large teams formerly at wirehouses now account for 30% of new RIAs, according to new research by Schwab Advisor Services.

Copying big banks, smaller institutions are pairing with robos to meet changing mass-affluent preferences in long-term investment products.

Digital brokerages are boosting features to bring in new clients.

Firms designated as “taping firms” due to the high number of brokers they hired from disciplined firms may soon have their status as taping firms disclosed in BrokerCheck.

Creation of the blue-ribbon body draws praise and confusion from CFPs who question its utility.

Six fiduciary groups call on advisors press SEC to clarify the differences between advisory and brokerage business models.

While the demise of the Department of Labor’s regulation will hurt investors, it makes fiduciary advisors even more relevant.

Forty-one percent of client-facing finance workers have had negative experiences that “still keep them up at night,” a Schwab survey finds.

Disparate voices in the fiduciary debate agree that Form CRS might be too dense and complex to achieve meaningful disclosure.

Fiduciary advocates lament the absence of the term from the SEC's rule, which they say fails to move beyond FINRA’s existing suitability standard, while the brokerage sector sees the proposal as a welcome jump in oversight.

FINRA plans to unveil a new user interface for its central registration depository system on June 30.