David Burton, the senior fellow in economic policy at the Heritage Foundation who authored Project 2025’s section on securities regulation, says Finra’s oversight of the broker-dealer industry is ...

Different broker-dealers have their own criteria for measuring an acceptable level of risk the client takes intraday and whether to limit it or not. Say, if a client exceeds a safe number of orders ...

Tools like these on the belt of a broker-dealer-turned-advisor make a huge ... have essentially been replaced with a number of different pieces of technology that enable them to accomplish the ...