SEC, FINRA Enforcement: Former 'Real Housewives' Husband Fined for Naked Short Selling
Brokerage firm ITG Inc. and affiliate AlterNet Securities will pay $20.3 million for running secret dark-pool trading desk.
Top 25 Indie BDs by Annual Revenue
All 58 presidents in Investment Advisor's 2014 BD Reference Guide poll said they believed in the viability of the IBD model.
Several notable compliance-related measures have been approved—or tabled—by the Securities and Exchange Commission, Financial Industry Regulatory Authority and state securities regulators over the past couple of months that should be on advisors’ and brokers’ radar.
The 2013 Broker-Dealer Reference Guide
Raging bulls, skyrocketing energy production, baby boomer retirement—for such a seemingly volatile industry, in the past year, surprisingly little has changed.
Raising Your Game
It's hardly news that regular communication--financial and otherwise--is the key to high-net-worth client satisfaction. Nor is it any surprise that satisfaction leads to loyal clients....