In the future, will people have relationships with their financial advisors or with the advisors’ broker-dealers, custodians and other affiliated businesses? It’s an uncomfortable question. Clients ...

Explore the full scope of the survey results, download the report. Sponsored by Kestra Financial Read the findings of our latest study, sponsored by Kestra Financial, that asked financial ...

VVV Research and Development Inc. conducted a national survey on behalf of broker-dealer Cambridge Investment Research Inc. In the survey, 648 representatives were surveyed about their experience with ...

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 ...

With broker-dealers continually seeking new methods of enhancing efficiency and reducing costs, Evgeny Sorokin, chief product officer at Devexperts delves into the role that automation can play and ...

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 ...

Yet another insurance company has decided to ditch the independent-contractor broker-dealer business, citing as a factor pressures from regulators when a firm sells proprietary products. Steven ...

The Public Company Accounting Oversight Board (PCAOB) has published a new staff document titled “Broker-Dealer Audit Focus: Review Engagements Regarding Exemption Reports”. The publication is part of ...