Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA to Send E-Delivery Rule Updates to SEC
By Melanie WaddellBroker-dealers would be allowed to make e-delivery their default method when sending investor disclosures and other communications.
February 02, 2026
FINRA Fines BD $750K Over TextingBenjamin Edwards didn't supervise employees' messaging nor preserve and review reps' business-related texts, the order states.
January 30, 2026
FINRA Hits Another BD With Reg BI, Form CRS FineGMS Group fell short on written supervisory procedures, according to the regulator.
January 28, 2026
Raymond James Launches AI Operations AgentDubbed Rai, the tech uses natural language processing and generative AI to support advisors' daily work.
January 26, 2026
Nearly 700 Commonwealth Reps Left LPL Last Year. Here's Where They Landed.A sizable portion of the departing financial professionals moved into RIAs or RIA-centric models.
January 26, 2026
Ex-Stifel Rep Steered Older Clients to Costly Brokerage Trades: FINRAJonathan Webster placed trades in commission-based accounts rather than less expensive fee-based ones, a suspension order states.
January 23, 2026
Goldman Sachs Boosts CEO David Solomon's Pay to $47MThe figure tops the $43 million awarded to JPMorgan CEO Jamie Dimon for 2025.
January 23, 2026
New Indie Contractor Rule Lands at OMBFSI, which has been battling Labor's 2024 rule in court, said the group is "encouraged" that Labor has initiated new rulemaking.