It has been approximately one (1) month since the Financial Industry Regulatory Authority (FINRA) has launched a targeted review of broker-dealer activity in small-capitalization offerings involving ...

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 ...

Broker-dealer firms are worried about increased audit costs in the wake of the Bernard Madoff scandal. The Securities and Exchange Commission at the end of 2008 let lapse an exemption that allowed ...

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 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 ...

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.