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Broker/dealers at the recent RPA roundtable discussed how data challenges slow convergence efforts as firms pursue IRA rollovers, managed accounts and financial planning to connect...
The firms will collectively pay $4.4 million to settle claims by the North American Securities Administrators Association alleging that they charged unreasonable commissions to ret...
US state regulators secure US$4.4 million from two broker-dealers over unreasonable charges on small-dollar retail equity trades
According to FINRA, three reps repeatedly recommended that clients sell unit investment trusts early and buy new ones, thereby racking up unnecessary fees for customers.
No current events compare to, say, the collapse of Lehman Brothers or Bernie Madoff's firm. Nevertheless, experts say RIA owners and financial advisors should still understand how...
The rulebook does not change at 8 am, and CIX Trading now trades until 5 pm ET
Axos Advisor Services, Hilltop Securities and Innovayte may not be as large as industry giants like Schwab, Fidelity and Pershing, but each has built a solid base of clients. And t...
SEBI plans to launch Demat 2.0, with tokenised corporate bonds available for secondary-market trading
The SEC has brought a closely watched enforcement action against former Linqto executives William Sarris and Joseph Endoso, alleging they misled thousands of retail investors who u...
Final amendments to National Instrument 31-103 remove a pay structure the CSA calls a conflic
Some commission recoveries fall outside the ban, but regulators still expect firms to act
As M&A gives brokers more specialty capabilities, a new competitive dynamic is emerging between internal wholesale operations and established intermediaries
Control and client continuity underpin their commitment to independence
Interactive Brokers, also known by its hot ticker symbol of IBKR, shares much more fee information than most custodians, without revealing much in the way of its scale among RIAs....
Wells Fargo, LPL, RBC, Raymond James and Goldman Sachs are flexing their ability to compete for RIA custody business. But that business also brings them into some unfamiliar, murky...
One year after $300M deal, referrals through Robinhood that put younger investors in the pipeline and an ongoing clearing relationship with Wells Fargo reflect how TradePMR is a gr...
The SEC has brought a closely watched enforcement action against former Linqto executives William Sarris and Joseph Endoso, alleging they misled thousands of retail investors who u...
Members of the independent broker network are putting more of their own capital into it as acquirers continue to absorb independent firms
Fragmented data and limited feedback leave brokers unsure what happens to the concerns they report
In a note, Jefferies said Sebi has proposed changing the settlement price for derivatives to the volume weighted average price (VWAP) or a blend of VWAP and CAS.
The CFTC and the Securities and Exchange Commission are working to bridge the regulatory gap after the Clarity Act was blocked.
One broker. Two retailers. One paid nothing. The other? 37 cents on every dollar
What keeps them up at night?
Apex Fintech Solutions and FusionIQ are linking Apex’s clearing and custody infrastructure with FusionIQ’s digital wealth tools for financial institutions launching or expanding in...
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