The tight credit market, coupled with lower trading volume, is forcing more small broker-dealers to close or merge as their capital approaches regulatory minimums, according to industry observers.

Jamie Price, the chief executive officer at Osaic, agrees that the tech upheaval is one of the biggest changes in the ...

Senior executives with small broker-dealers, or those with 150 or fewer registered representative salespeople, have often expressed a common frustration with FINRA, the primary regulator for the ...

The National Association of Independent Broker/Dealers (NAIBD) is working to prevent proposed legislation in Congress from increasing the auditing costs of small independent broker/dealers. These ...

The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, the latest effort by a regulator to crack down on pump-and-dump schemes.

The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new reports and data on broker-dealers, mergers and acquisitions (M&A), and business development ...

Broker-dealer earnings in the third quarter rose as much as 74% from a year ago, with nearly all firms reporting Q3 earnings growth near or higher than 19%. One BD did report a small loss, tied to one ...