Broker dealers

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.

The number of advisors registering with FINRA has fallen since 2016, as more planners elect a fee-only model.

It will be the largest bank channel team at the IBD, with its former clearing house Pershing taking a hit.

Hilltop was fined a total of $475,000, with $100,000 pertaining to violations of municipal securities rules.

The price hikes would come as early as 2022, and follow a budget deficit in 2019.

This year’s survey results reveal challenges for independent broker-dealers and their future growth.