An annual PCAOB report details an increase in the percentage of broker-dealer financial reports with audit deficiencies and offers perspective on the nature of the deficiencies and advice for avoiding ...

VVV Research and Development Inc. conducted a national survey on behalf of broker-dealer Cambridge Investment Research Inc. In the survey, 648 representatives were surveyed about their experience with ...

ZERO Digital Asset Securities reached a milestone in its role as a Special Purpose Broker-Dealer (SPBD) permitted to custody ...

Wealth managers rely on platforms such as broker/dealers and custodians, and over two-thirds have considered switching their current arrangements, though only 17.1% are actively planning to make ...

Inexperience with PCAOB standards is a significant reason for an “unacceptably high” rate of noncompliant audits of broker-dealers annual reports, according to a report focused on helping auditors get ...

With broker-dealers continually seeking new methods of enhancing efficiency and reducing costs, Evgeny Sorokin, chief product officer at Devexperts delves into the role that automation can play and ...

The broker-dealer rule from the United States Securities and Exchange Commission (SEC), which changed the definition of a ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

A former Credit Suisse Group AG broker who pleaded guilty to securities fraud should be granted leniency in his sentencing because of his "substantial assistance," including testifying against... U.S.

Recruiting will become more expensive in 2011 as the fight for top advisers heats up among independent broker-dealers looking to bounce back from a lackluster 2010. Last year, some leading independent ...