Jamie Price, the chief executive officer at Osaic, agrees that the tech upheaval is one of the biggest changes in the broker-dealer business. He waxes idealistic about third-party software demos he’s ...

Almost all proprietary trading firms that are currently registered as broker-dealers with the Securities and Exchange Commission (SEC) would likely be required to join the Financial Industry ...

On October 16, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities for its fiscal year 2024 (Oct. 1, 2023 - Sep. 30, 2024). The ...

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 ...

Investing in the stock market can be complicated, and some investors seek help with the process. While every investor turns to a broker-dealer, some investors also turn to investment advisers. These ...

The US Securities and Exchange Commission is pushing to clear up years of confusion over a key broker-dealer reporting rule that prevented certain assets from being quoted by broker-dealers on the ...

Emerson Equity has been to turn over documents to private equity firm Inspired Healthcare Capital related to Inspired’s bankruptcy petition.

FLASH FRIDAY is a weekly content series looking at the past, present and future of capital markets trading and technology. FLASH FRIDAY is sponsored by Instinet, a Nomura company. On Friday, February ...

Transitioning from a broker-dealer to an RIA means moving from earning a commission for buying and selling products to a fee-based professional advice model. There are two ways to form a full-service ...

Emerson Equity “was substantively involved” with Inspired Healthcare and the operation of its business and fundraising, ...

As momentum builds around defined contribution plans driven by the convergence of wealth, retirement and benefits at the workplace, the DC industry gathered at a high-level roundtable hosted by ...

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 ...