Broker-Dealers vs. RIAs: Key Differences for Investors

Compare broker-dealers and RIAs to understand their roles, regulations, and which suits your investment needs. Learn the key ...
Banking Dive

Bunq gets US broker-dealer license

The Dutch neobank had applied for a banking license in 2023 but withdrew that bid over a “difference of views” among the OCC, ...

Finra Probes Broker-Dealers as Regulators Target Pump-and-Dumps

The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, ...
Traders Magazine

Broker-Dealer Industry Shrinks in Number, Grows in Scale

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 ...
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Broker-Dealers Push for FINRA Rule Update to Match Modern Investor Needs

Broker-dealer advocates are calling for an amendment to a 2001 Financial Industry Regulatory Authority (FINRA) rule, arguing that the current regulation fails to reflect the characteristics and ...
JournalofAccountancy

Broker-dealer audit deficiencies on the rise, PCAOB finds

An annual PCAOB report details an increase in the percentage of broker-dealer financial reports with audit deficiencies and offers perspective on the nature of the deficiencies and advice for avoiding ...