Oyster, a full-service consulting firm providing compliance, risk, operational, and technology advisory services for the financial services industry, is continuing to strengthen its Broker-Dealer ...

A statement this month from U.S. Securities and Exchange Commission (“SEC”) Division of Trading and Markets unlocked a particularly critical part of securities laws for broker-dealers looking to ...

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, ...

Welcome to "Show Me Your Stack," a series from Financial Planning in which we interview those who deliver financial advice to learn what tools they rely on to make it happen. Rising client ...

Michael Decker of Bond Dealers of America. Broker-dealer groups support Securities and Exchange Commission approval of the Municipal Securities Rulemaking Board's multi-year rate card proposal, while ...

Discover how brokers are compensated in bond sales, the hidden transaction costs, and what it means for investors. Learn vital insights for better decision-making.

Lightyear Capital LLC is one of the leading firms in pursuit of the broker-dealers that comprise most of the ING Advisors Network Inc., according to multiple investment banking and industry sources.

Michael Decker, senior vice president for research and public policy at the Bond Dealers of America. The year 2025 has been "a good year" for municipal securities regulation – a representative of one ...