If youre one of these big money center banks, thats going to be a real hurdle. Burnett: Most people dont realize how many small independent broker-dealers are out there. If we ran these numbers using ...

Choosing which broker-dealer to affiliate with is one of the biggest decisions you'll make as an independent financial advisor. The right broker-dealer will provide the technology, platforms and ...

A small number of our financial advisors are not permitted to offer advisory services to you, and can only work with you directly as UBS broker-dealer representatives. Your financial advisor will let ...

On January 13, the SEC published to the Federal Register a final amendments to Rule 15c3-3 – the Broker-Dealer Customer Protection Rule – to require daily reserve calculations for certain ...

The broker-dealer industry has undergone significant changes in recent years. These changes span from technological innovations to regulatory adjustments, each introducing its own set of challenges ...