Broker dealers

The regulator's Consolidated Audit Trail database, intended to collect trading data, is in legal crosshairs again over privacy issues.

Financial Planning announces its 2024 class of the top 40 most productive employee wealth management brokers under age 40.

Financial Planning announces its 2024 class of the top 40 most productive employee brokers under age 40 at regional firms.

From top brokers and broker pay to succession planning, advising for Medicare, ChatGPT and our coverage of the independent space, these are the biggest stories FP published in the last year.

Peruse the lists that put wealth management in perspective, from our top 40 young brokers to the largest IBDs and RIAs in the country.

The new rules may slow the deletion of valuable public records, but FINRA should take the issue out of arbitration altogether.

The firm told the SEC years ago about employees' ability to improperly access certain information, though it had no evidence anyone had done so.

A small tweak to business practices could earn many firms in the industry much more in income, and it's hiding in plain sight.

SEC Chair Gary Gensler is worried about conflicts of interest in investment advice.

There are ways to keep cash balances fully insured and fully liquid — and brokered deposit programs may not be one of them.

The sale of $15 billion Grove Point Financial comes as smaller broker-dealers confront market headwinds.

The giant financial institution's performance during the first three months of 2023 is being closely watched by the wealth management industry.

A behind-the-scenes business, cash management services for advisory firms and affluent clients are in the spotlight following the Silicon Valley Bank and Signature Bank implosions.

A new study from YCharts shows which type of financial advisor is best at communicating with clients, along with investors' changing priorities.

From the rise of direct indexing and private equity, to the reinvention of brokers, these were the stories that made the covers out Financial Planning over the last year.

As wealth management firms and advisors increasingly wear two hats, it's getting harder for investors to know when they're overpaying for products and advice.

Network 1 Financial Securities focuses on micro-cap companies in China and Hong Kong, where financial data is opaque.

An advisor with strong client relationships can make a move whether markets are up, down or sideways.

There were signs of improvement in terms of audit engagements and quality control systems.

The award from Invest in Others, a nonprofit whose board features prominent financial firms, honors practices with extensive volunteering and charitable giving.