In October of this year, the Israel Securities Authority published a memorandum of law aimed at regulating broker-dealer activities in Israel. Public comments will be accepted until 21/11/24. At issue ...

Lightyear Capital LLC is one of the leading firms in pursuit of the broker-dealers that comprise most of the ING Advisors Network Inc., according to multiple investment banking and industry sources.

Welcome to "Show Me Your Stack," a series from Financial Planning in which we interview those who deliver financial advice to learn what tools they rely on to make it happen. Rising client ...

Advisory firms have spent a copious amount of time this year preparing for the Securities and Exchange Commission’s telegraphed focus on Regulation Best Interest violations, particularly the treatment ...

Despite limited regulatory requirements to intervene, broker-dealers face exposure to discipline and liability claims when elderly clients fall victim to financial exploitation. In an environment of ...

With the Dow Jones Industrial Average shooting up 3.5 percent Wednesday in the wake of former President Donald J. Trump’s election once again to the White House, publicly traded broker-dealers and ...

I reiterate my buy rating on IAI, as broker-dealer stocks show strong momentum and relative strength versus other Financials in 2025. IAI’s diversified portfolio, solid long-term earnings growth, and ...

Citadel Securities is pushing the SEC to apply full exchange and broker-dealer requirements to DeFi protocols, rejecting ...

If the Municipal Securities Rulemaking Board won't scrap a one-minute trade reporting initiative entirely, it should at least allow the timeframe for reporting manual trades to remain at 15 minutes, ...

The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in combined ...

As the ETF market gets increasingly crowded, issuers often face an uphill battle finding distribution space for new funds, particularly when it comes to actively managed vehicles or those with novel ...

The anticipated attrition of at least some Commonwealth Financial Advisors in the wake of LPL Financial’s announced acquisition of the broker/dealer appears to have begun with the departure of about a ...