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Lido Advisors launched a broker/dealer option as it continues to recruit advisors, though it will remain focused on being a fee-only RIA, according to a regulatory filing and execu...
The regulator will examine how firms supervised "worst-of" structured notes, with a focus on their compliance with best-interest standards.
In February 2026, the Financial Industry Regulatory Authority (FINRA) proposed amendments to its Rule 2210(d)(1)(F) that would permit member firms to include performance projection...
On April 13, 2026, the Staff of the Division of Trading and Markets (Staff) of the U.S. Securities and Exchange Commission (SEC) issued a statement detailing their views on the bro...
Brokers provide expert knowledge, tools, and support that enable traders to maximize their potential. So, understanding why brokers are a must-have ally is important for reaching t...
In my previous article, I wrote about the data fragmentation problem inside independent brokerages....
One practice question frequently raised by private fund sponsors, including exempt reporting advisers (“ERAs”), is whether they may compensate third parties for introductions to po...
In my previous article, I wrote about the data fragmentation problem inside independent brokerages....
The Staff of the Division of Trading and Markets (the “Staff”) of the Securities and Exchange Commission (the “SEC” or the “Commission”) recently issued a statement (the “Statement...
In a recent decision, the Canadian Investment Regulatory Organization (CIRO) has imposed stiff penalties following findings of improper trading practices by the Ultimate Designated...
CIRO sanction comes with an additional $15,000 in costs
In March 2025, the Financial Industry Regulatory Authority (FINRA) published and requested comment on a proposed new “outside activities” Rule 3290 that would combine and replace R...
For futures commission merchants (FCMs) that are clearing members of the Chicago Mercantile Exchange, it’s that time of year: Time for the annual examination of the FCM’s operation...
As the market moves to quick settlement cycles and fund transfers, the regulatory focus is shifting to risk management
As the market moves to quick settlement cycles and fund transfers, the regulatory focus is shifting to risk management
The firm reached a confidential agreement with the Jannetti family in its case involving a $133 million FINRA arbitration award.
CSA and CIRO let two dealers offer select us-traded event contracts under strict conditions
Only three types of contracts made the cut — and there's no room for leverage
Among individual movers, Motilal Oswal Financial Services rose 8.5% to ₹687.05, while BSE Ltd jumped over 7% to ₹2,879.10, reflecting strong investor sentiment across the segment
The best wholesale brokers in the USA build holistic solutions for complex or unique risks, offering clients specialized expertise and access to capacity they cannot secure elsewhe...
On April 13, 2026, staff in the US Securities and Exchange Commission (SEC) Division of Trading and Markets issued a Staff Statement Regarding Broker-Dealer Registration of Certain...
A series of settlements and arbitration awards since late 2022 require Stifel to pay hundreds of millions over recommendations made by its former broker Chuck Roberts.
A rush of lawsuits is sweeping through the brokerage sector as established firms fight what they see as large-scale raids of talent
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