Social Media Ideas for Broker Dealers

FINRA Snapshot Shows Large Broker/Dealers Grew Market Share in 2025

FINRA shows that industry consolidation led to fewer firms despite more registered representatives in 2025, and that dual registration for broker/dealer and fee-based investment ad...

Every Broker-Dealer Tracks Completion, But Almost Nobody Tracks Readiness

A.D. Banker offers a defined Series licensing path by adding Series 52 and Series 24 exam preparation; creating a single, FINRA- and MSRB-aligned platform covering first exam to pr...

FINRA Expels New York Broker/Dealer for Churning

Reid & Rudiger's co-founders were barred from the industry after clients paid $2 million in commissions and incurred $2.7 million in losses from high-volume trades.

FINRA Opens Sweep Focused on Concentrations in High-Risk Structured Notes

Brokers seek market maker carve-out to reduce impact of tighter bank lending norms

RBI has ordered banks to require full collateral for credit facilities used by brokers for proprietary trading, citing concerns over funds being used for equity market speculation

FINRA to Review of 'Higher-Risk' Structured Products

The regulator will examine how firms supervised "worst-of" structured notes, with a focus on their compliance with best-interest standards.

Why Traders Need Brokers: An Important Alliance

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...

RBC Dominion Securities to pay $3.4 million after admitting it failed to watch two futures traders

Two advisors traded thousands of orders as clients lost up to 94%, CIRO found

Industry group backs CIRO rule overhaul but warns of strain on smaller dealers

Mutual fund dealers face the heaviest lift as Canada's self-regulator pushes toward a unified rulebook

CSA limits mutual fund dealers to one principal distributor family

Only two firms are affected - but every fund manager faces fresh disclosure rules

Stifel Reaches Settlement in Structured Notes Case

The firm reached a confidential agreement with the Jannetti family in its case involving a $133 million FINRA arbitration award.

How Are Customer Assets Protected When A Brokerage Faces Regulatory Issues?

In May, regulators fined the parent companies of three brokers for operating in China without a licence. The post How Are Customer Assets Protected When A Brokerage Faces Regulator...

SEBI reviews broker net-worth norms, weighs IPO auction reforms

Regulator also plans easier compliance for research analysts, new MF liquidity framework and measures to deepen corporate bond market

CIRO proposes framework for advisor incorporation

Proposed rule changes would end a long-standing gap in compensation structure between mutual fund and investment dealer advisors across Canada

Sellers are only making a 'choice' if they know all the facts

Brokerages are allowed to benefit from a deal — but fiduciary duty requires full disclosure, including unbiased data on the downsides of private listings.

SEBI proposes wider funding avenues, higher net worth requirement for margin trading brokers

The regulator has also proposed allowing brokers to accept all collateral eligible in the normal cash market for MTF transactions

$3B Former Wells Fargo FiNet Team Launches Own RIA

The 22-person Jacksonville, Fla., team, led by four partners, will use First Clearing for custody and TradePMR for middle-office support.

Broker Says Ex-Employee Moved 800 Clients To Rival

An insurance brokerage urged a Colorado federal judge Wednesday to block three former employees and a rival from using allegedly stolen trade secrets, saying a senior broker took c...

BC advisor pays $25,000 after leaving widow's home-buying plans out of her file

WFG Securities advisor filled in DSC fee disclosures only after his client had already signed

SEC to RIAs: You also have to worry about cash sweeps

As brokerage firms keep getting sued for allegedly not providing clients fair returns on their uninvested cash, the SEC tells investment advisors they also have legal liabilities.

Robinhood, TradePMR Launch RIA Referral Program

Robinhood and TradePMR’s RIA referral program is live for a select group of advisors and clients; separately, executives said TradePMR will keep Wells Fargo as a custody and cleari...

The SEC Just Scrapped a 25-Year-Old Day-Trading Rule. Here's What It Means for Interactive Brokers and Robinhood.

The Securities and Exchange Commission has made it easier to day trade, which is good for discount brokers but could be risky for investors.

Brokers’ body seeks carve-out for liquidity providers under RBI norms

Seeks interim relief from Finance Ministry ahead of RBI’s July 1 lending norms, recommends SPAN-based test

NAR’s pre-market guidance stresses broker responsibility

Sellers decide their listing’s level of exposure, NAR says. But brokers should explain how each option serves their best interest — and get disclosures signed.