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 ...

Ashford Securities, a Dallas-based broker-dealer that sold and distributed nontraded real estate investment trusts, is shutting down . According to its BrokerCheck profile, the Dallas-based Ashford ...

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 ...

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 ...

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.

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 ...

As of 2024, the number of Commission-registered broker-dealers has declined by nearly 30% from 4,758 in 2010 to 3,341, signaling significant industry consolidation, according to a new report by the ...

In Early September 2025, TRAU convened the RPA Broker/Dealer Roundtable and Thinktank at the Broadridge offices in New York City. Attending was a group of senior executives of the defined contribution ...

NEW YORK, Aug. 8, 2025 /PRNewswire/ -- The Easterly ROCMuni High Income Municipal Bond Fund (RMHIX) has recently lost about half its value, with its share price falling to roughly $2.95. It is a small ...