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

Discover how inter-dealer brokers facilitate large financial transactions, improve market liquidity, and offer anonymity in OTC markets, benefiting financial institutions.

John Peterson wanted his small financial advisory firm, CWM Financial Group in Gaithersburg, Md., to grow but he had reached his limit for handling new clients. He turned to a larger firm for help.

Stifel Financial Corp. continued its long-term move away from the independent broker-dealer industry when it said on Monday ...

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

The industry group says current rules are outdated and overly broad, urging reforms to better reflect modern communication ...

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

Europe’s second-largest neobank, has been approved by FINRA to operate as a US broker-dealer – a move driven by users who live, work and invest across both Europe and the US. The approval marks bunq’s ...

The Staff of the Division of Trading and Markets of the US Securities and Exchange Commission issued on May 15, 2025 responses to Frequently Asked Questions Relating to Crypto Asset Activities and ...

The independent broker-dealer’s new 13-story San Diego headquarters is the nation’s largest net-zero energy building, says the firm. The independent broker-dealer increased its financial advisor rep ...