The industry group says current rules are outdated and overly broad, urging reforms to better reflect modern communication ...

Schwab Advisor Services saw a 45% increase last year in the number of advisor teams transitioning from the independent broker-dealer channel to the RIA model.

Drawing scores of breakaways with $50 billion in prehire assets, the hybrid RIA co-founded by former Wells Fargo leaders has ...

The Public Company Accounting Oversight Board released a new staff publication aimed at auditors of broker-dealers who are performing review engagements involving exemption reports. The publication, ...

LPL Financial (LPLA) announced that financial advisors Amanda Miller, Devin Richard and Jonathan Vila, CRPC(R), of Frontline Investment Advisors have joined LPL Financial’s broker-dealer, aligned with ...

If the Municipal Securities Rulemaking Board won't scrap a one-minute trade reporting initiative entirely, it should at least allow the timeframe for reporting manual trades to remain at 15 minutes, ...

As crypto collides with traditional finance, the trading firm is moving to secure a bigger role in capital formation in the United States.

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 ...