Broker-dealer firms are worried about increased audit costs in the wake of the Bernard Madoff scandal. The Securities and Exchange Commission at the end of 2008 let lapse an exemption that allowed ...

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.

Broker-dealer earnings in the third quarter rose as much as 74% from a year ago, with nearly all firms reporting Q3 earnings growth near or higher than 19%. One BD did report a small loss, tied to one ...

The National Association of Independent Broker/Dealers (NAIBD) is working to prevent proposed legislation in Congress from increasing the auditing costs of small independent broker/dealers. These ...

Insurance agents were twice as likely as broker-dealers and registered investment advisors to run afoul of state regulators. Small RIAs faced the most enforcement actions, according to NASAA’s new ...

Several broker/dealers firms, including Edward Jones, LPL Financial, RBC, Stifel and TD Ameritrade, will pay millions to settle state securities regulators’ accusations that they charged unreasonable ...

The Public Company Accounting Oversight Board reported that deficiency rates remain high across examination, review and audit engagements for auditors of broker-dealers. Processing Content In the 2024 ...

Standard Chartered Securities North America LLC has agreed to pay a $95,000 fine and accept a public censure to settle ...