AstraBit was granted membership by the Financial Industry Regulatory Authority (FINRA) on December 16, 2025, registering as a broker-dealer in the United States. Broker-dealer registration is publicly ...
Regulator says flawed disclosures and weak oversight led to excess fees and hidden interest at American Portfolios.
In the future, will people have relationships with their financial advisors or with the advisors’ broker-dealers, custodians and other affiliated businesses? It’s an uncomfortable question. Clients ...
Under a new proposal, clients would have to opt in to receiving account statements and other documents in paper form.
The anticipated sale of the ING broker/dealer network was made official early this morning as the struggling Dutch parent company shed the three independent firms to a private equity firm for an ...
A proposal by New Jersey's state labor department to institute new rules to protect gig workers has sparked a major backlash from the industry, with a policy expert at one of the broker-dealer ...
Financial advisors affiliated with a broker-dealer are far more likely than other advisors to say they will definitely leave their firm this year. Processing Content That was among the findings in ...
The Public Company Accounting Oversight Board (PCAOB) has published a new staff document titled “Broker-Dealer Audit Focus: Review Engagements Regarding Exemption Reports”. The publication is part of ...
As of 2024, the number of Commission-registered broker-dealers has declined by nearly 30% from 4,758 in 2010 to 3,341, signaling significant industry consolidation, according to a new report by the ...
For many financial advisors, dissatisfaction with a current broker-dealer eventually raises the question: is it time to make a move? The recent trend of broker-dealer consolidation through mergers and ...
The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, the latest effort by a regulator to crack down on pump-and-dump schemes.
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