Security Brokers Dealers

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Coming 12 to 24 months could divide the industry into winners and losers — firms that will be able to adapt, and those that might fall by the wayside. (More: Top Independent Broker-Dealers 201

The Public Company Accounting Oversight Board voted Thursday to adopt two attestation standards pertaining to audits of brokers and dealers, along with an auditing standard for broker-dealer audits.

Get ideas for how to apply these recommended smart tools and apps to your business.

Stay in the financial markets 'know' by following these influential independent broker-dealers on social media.

For securities law and corporate counsel services in California and nationwide, contact Jacko Law Group to arrange an attorney consultation: 213-631-2549

Firm's representatives rank Prospera Financial Services #1 in Investment Advisor magazine's annual poll; Prospera honored six out of the last ten years
DALLAS, Sept. 4, 2018 /PRNewswire/ -- Prospera Financial Services, Inc. (Prospera) was named as Investment Advisor magazine's 2018 Broker-Dealer of the Year in Division I, representing firms with up to 199 producing advisors. The magazine conducts an annual poll asking its financial advisor…

To gain some producer-level perspective on the outlook this year for the P&C business, NU spoke with some major players across the agent & broker spectrum to discover where the greatest opportunities—as well as the most daunting challenges—lie in the year to come.

Dozens of once-famous regional broker-dealers have been swallowed up by larger companies or simply gone out of business over the past 20 years, InvestmentNews writes. The few survivors, meanwhile, are trying to grow in size while maintaining the local feel and intimate culture that made regionals popular with advisors in the first place, according to the publication
The overall number of broker-dealer firms has decreased by…

Insurance Technologies delivers Broker dealer sales tools and broker dealer software as well as financial advisor sales software.

The PCAOB inspections staff revealed five areas of focus for its 2015 inspections of auditors and brokers and dealers.

IBDs expect a 12% year-over-year increase in 2016, according to InvestmentNews survey
Nov 27, 2016 @ 12:01 am
In a survey fielded late this summer, InvestmentNews found that the typical independent broker-dealer spent $13.6 million on technology in 2015, representing 7.1% of their total operating expenses and 2.2% of their annual revenues
With the importance of technology rising, IBDs projected they would end this year, on…

A selection of articles, blog posts, videos and photos recommended by Tire Dealer News

Almost nine in ten audits of broker/dealers examined in 2014 had deficiencies, according to a new Public Company Accounting Oversight Board report, and almost a quarter had independence issues.

When smart, dynamic leaders get together and talk through challenges and opportunities they encounter, patterns emerge. Even with different personalities, backgrounds and opinions at the table, it becomes evident that successful people tend to view the fundamentals in a similar way. Here’s an example. Earlier this year, a few hundred top RE/MAX brokers gathered in …

Wisconsin is home to over 10,000 registered broker-dealers, all of whom currently operate without owing federally imposed fiduciary duties.

Learn how we’ve packaged the power of the second largest broker-dealer network in the country into the personalized service of a boutique firm.

When it comes to compliance, social media posts by broker/dealers are in a gray area under current regulatory rules. Some of that uncertainty will be...

NEW YORK, Aug. 27, 2015 (GLOBE NEWSWIRE) -- ALM's Investment Advisor announced the results of its 25th annual readers' poll in which the representatives of independent broker-dealers chose the...