AstraBit Registers As A U.S. Broker-Dealer, One of The First Firms To Be Granted FINRA Membership For Digital Assets

AstraBit was granted membership by the Financial Industry Regulatory Authority (FINRA) on December 16, 2025, registering as a broker-dealer in the United States. Broker-dealer registration is publicly ...
WealthManagement.com

ING Broker-Dealers Sold to Private Equity Firm

The anticipated sale of the ING broker/dealer network was made official early this morning as the struggling Dutch parent company shed the three independent firms to a private equity firm for an ...
Accounting Today

Broker-dealer audits continue to have high deficiency rates

The PCAOB issued its annual report Thursday on its audits of brokers and dealers and is seeing at least one deficiency in 70% of the 103 audit engagements it reviewed in 2023. Processing Content ...
InvestmentNews

Small B-Ds still get plenty of FINRA’s ire as actions against firms fall, attorneys say

FINRA’s 2025 disciplinary statistics reflect a significant reining-in of FINRA’s enforcement program,' according to analysis.
InvestmentNews

FINRA orders Osaic-owned firm to repay millions after cash sweep fee failures

Regulator says flawed disclosures and weak oversight led to excess fees and hidden interest at American Portfolios.
Financial Advisor

2025 Independent Broker-Dealer Review & Ranking: IBDs Go Big

In the future, will people have relationships with their financial advisors or with the advisors’ broker-dealers, custodians and other affiliated businesses? It’s an uncomfortable question. Clients ...
JD Supra

Fund Sponsors and Placement Agents – Navigating Broker-Dealer Issues

Fund sponsors often engage investment banking or placement firms to help raise capital or generate deal flow for their funds. In exchange, the sponsor may offer a cash fee, a piece of the sponsor’s ...
Financial Advisor

Broker-Dealers Beware: Common Pitfalls When Selecting A Surveillance Provider

In today’s increasingly complex regulatory environment, broker-dealers (BDs) face mounting pressure to implement effective surveillance technology to detect and prevent violations. However, navigating ...
Law

The SEC Ramps Up its Scrutiny of Asset Managers, Broker-Dealers and Other Financial Firms

In this panel from the annual “Securities Enforcement Forum West” event, securities law experts and SEC officials discuss how financial firms, including asset managers, broker dealers, and hedge funds ...
Law

SEC Enforcement and Regulation of Financial Firms - Asset Managers, Broker-Dealers, and Private Funds

The panel emphasizes the need for financial firms, particularly asset managers and broker-dealers, to strengthen their compliance and self-reporting practices in light of increased scrutiny from the ...
JD Supra

Broker-Dealer Liability Risks in Elder Financial Exploitation Cases

Despite limited regulatory requirements to intervene, broker-dealers face exposure to discipline and liability claims when elderly clients fall victim to financial exploitation. In an environment of ...