Cerulli research sees major acquisitions and mergers drive growth in the IBD channel, with advisors increasingly drawn to ...

Schwab Advisor Services saw a 45% increase last year in the number of advisor teams transitioning from the independent broker-dealer channel to the RIA model.

Being an independent financial advisor gives you the freedom to design your business, but it also requires finding the right support to manage associated challenges. Choosing a broker-dealer that ...

Understand wirehouses' evolution from telegraph networks to Internet-era prominence, their economic role, impact during the 2008 crisis, and modern services.

The PCAOB issued its annual report Thursday on its audits of brokers and dealers and is seeing at least one deficiency in 70% of the 103 audit engagements it reviewed in 2023. "Overall, in 2023 we ...

In today’s increasingly complex regulatory environment, broker-dealers (BDs) face mounting pressure to implement effective surveillance technology to detect and prevent violations. However, navigating ...

Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...

Opting to switch broker dealers is typically a last-resort decision, stirring discomfort among advisors. The mere contemplation of change signifies a threshold of considerable discomfort. There are ...