Other examples of broker-dealers include LPL Financial, Northwestern Mutual Investment Services, and Lincoln Financial Network. What Is the Difference Between a Broker and a Dealer?

A panel of recruiters shared their thoughts on the industry, from their unique perspective dealing in broker-dealer negotiations with advisors. Jodie Papike, an executive vice president at Cross ...

Major independent broker-dealers continue to fight over RIA assets, as Cambridge Investment Research Inc. signs up a huge ...

One example is where the broker-dealer sends the trade-matching details (e.g., identity of the parties, price, and quantity) to the buyer and issuer of a digital asset security-similar to a ...

For example, the joint statement indicates that a broker-dealer maintaining a private key to a digital wallet may not be able to sufficiently demonstrate that it has exclusive possession or ...

In the years since the financial crisis, advisors have witnessed RIA growth at the expense of traditional broker-dealers. The recovered market can clearly support players in multiple channels. Yet ...

For example, if Dealer A has ample inventory of WiseWidget Co. stock ... Some broker-dealers act as agent (pure broker), facilitating trades only on behalf of customers and taking a commission.

The inspections included review of 34 broker-dealer audits conducted by four largest firms that audited more than 100 broker-dealers and more than 100 issuers in the 2021, ... Along with descriptions ...

(For example, a financial advisor ... Stated simply, the idea is that broker-dealers and financial advisors must act in the best interest of investors. Let’s look at each of the three duties.

The sheer scale of the SEC's new rules for broker-dealers will leave firms scrambling in the next 11 months. Four new requirements under Reg BI—the Disclosure, Care, Conflict of Interest, and ...