The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, ...

Understand wirehouses' evolution from telegraph networks to Internet-era prominence, their economic role, impact during the 2008 crisis, and modern services.

John Peterson wanted his small financial advisory firm, CWM Financial Group in Gaithersburg, Md., to grow but he had reached his limit for handling new clients. He turned to a larger firm for help.

The industry group says current rules are outdated and overly broad, urging reforms to better reflect modern communication ...

The PCAOB and SEC issued guidance on the registration of auditors of nonpublic broker-dealers. Until recently, auditors of nonpublic broker-dealers were not required to register with the PCAOB as a ...

ANAHEIM, Calif., June 5, 2025 /PRNewswire/ -- Centaurus Financial, Inc. ranks No. 17 among independent broker/dealers in Financial Advisors' list of the top 40 in the United States. Centaurus has ...

The independent broker-dealer’s new 13-story San Diego headquarters is the nation’s largest net-zero energy building, says the firm. The independent broker-dealer increased its financial advisor rep ...