Results for Security Brokers Dealers

Massachusetts looking into private placement sales.

Independent broker-dealers are a great choice for experienced, self-starter planners who have established practices.

Written by: Marissa Scicchitano, CPA Since August 2011, the Public Company Accounting Oversight Board (“PCAOB”) has been performing inspections of broker-dealer audits under an Interim Inspection Program. Based on Interim Inspection Program results through the PCAOB’s most recent Release No. 2015-006 on August 18, 2015 (the “August 2015 Release”), Wolf & Company is 1 of only 4 firms among 155 firms with no “observations,” defined as audit deficiencies and independence findings.

The sell-side industry faces a massive restructuring due to a combination of strict new regulations, increased competition, demands for improved trade transparency and multiple technological innovations. Taken together these trends have the potential to severely undermine existing revenue models
Between them, regulation and technology dominate the sell-side industry’s agenda. In our recent report, undertaken with Lantern Insights, 77 percent of respondents expected increased regulation to severely…

From its humble beginnings in a Toyota Corolla, CPI Security — originally Crime Prevention Inc. — has operated with a singular focus.

In this weeks video, Chris Vernon discusses buying investment advice from a local credit union. Generally speaking credit unions tend to have good reputations but a problem arises when the credit union becomes affiliated with a broker-dealer. In the last few years there has been a pattern of those brokerage firms selling high-commission products, find out more here:

The U.S. Securities and Exchange Commission passed Regulation Best Interest which becomes effective 60 days after it is posted in the federal register.

Firms participating in Investment News' annual IBD survey posted their first average year-over-year drop in revenue since the 2008 credit crisis

OnWallStreet's annual ranking of the wealth management industry's top wirehouses and regional broker-dealers shows continued growth at these firms but they still face challenges growing their business. See which firms ranked highest and how the industry's leaders plan to stay on top.

Private-equity-firm J.C. Flowers & Co is eyeing opportunities in mergers and acquisitions advisory work, securing U.S. regulatory approval that allows the company to work on client deals.

To remain competitive in today's financial advice industry, broker-dealers must recalibrate their relationships with their advisors, according to a whitepaper released today by Pershing.

Independence issues identified in the PCAOB’s 2017 staff inspections fell compared with the previous year, according to a report the board.

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

How can you position your firm to become the broker-dealer of choice for fast-growing teams?

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.

EAI restructures compliance oversight for over 100 OSJ branches
Challenge
A Midwest Broker-Dealer with 300 brokers needed to accommodate heightened compliance requirements amidst rapid growth. It needed a compliance system that could not only manage the books and records for over 100 OSJ branches as business grew, but also offer the flexibility to support a complex commission structure
To do this, the company needed to replace…

Brokerage firms in the second quarter boosted earnings growth as high as 470% and reported declines as low as 383% — AdvisorOne selected a lucky 10 for scrutiny.

Robo-advisors are everywhere and they are taking customers with them. Learn how broker-dealers can take on robo-advisors with Laserfiche ECM.

Here are the 10 independent broker-dealers with the least revenue growth from 2011 to 2016. This data was collected from firms that participated in InvestmentNews' independent broker-dealer surveys.
Click through to find out which firms saw the least revenue growth, ranked in descending order, and click here to see the complete Broker-Dealer Data Center.

Wanna little scoop from this conference in Chicago? Try this one: Wells Fargo has added operational capacity to its current operations centers to handle its correspondent business and cut turn times. More than three hundred peopled are in the process of being...