Broker dealers

Brokerages applaud a new rule that will relieve them of the obligation to monitor advisors' side gigs such as driving for Uber or bartending. But regulators say they still have plenty of obligations to monitor outside business activities.

Osaic expected advisor departures during its massive consolidation of nine separate broker-dealers within its corporate structure. But CEO Jamie Price says the effort positioned the firm well for a future liquidity event. Here's how the independent broker-dealer is rebuilding.

Industry consultants recommend steps RIAs in Schwab's referral network can take if they're worried about competition for clients.

Brooke Pilant, who was at Ameriprise from 2017 to 2024, accused the firm of turning against her after she raised concerns about "unethical practices."

A federal judge finds that the embattled brokerage Alpine Securities' argument that FINRA should answer to the federal executive branch amounts to " wishful thinking" that "collapses under the weight of spiraling aspiration."

Financial Planning announces its 2026 class of the top 40 most productive employee wealth management brokers under the age of 40.

A bill on reciprocal deposits passed the committee unanimously, while another measure on custodial deposits passed by a wide, bipartisan margin.

Retail investors revolted against institutional investors by buying heavily shorted stocks in January, reanimating regulatory concerns about short selling and market manipulation. But is shorting a check on speculation, or a driver of it?

The agency's principals are scheduled to meet Dec. 15 to vote on a new definition for brokered deposits and on regulatory standards for industrial bank parents.

JWTT, created by former Wedbush Securities bankers, says it will use its connections to court business from other investment banks that were recently sold.

The fintech company, which was forced to rebrand its cash management product last year after misleading marketing caused a backlash, is seeking a national bank charter.

Copying big banks, smaller institutions are pairing with robos to meet changing mass-affluent preferences in long-term investment products.

As competitors retreated from securities lending, BNY Mellon's Michelle Neal saw an opening.

The German banking giant isn’t targeting a specific level of cuts in the U.S. and the final figure will depend on each business line’s decisions, a source said. The U.S. makes up about one-tenth of its global workforce.

The Trump administration’s interest in reinstating barriers between commercial and investment banking is sparking conversations about what such a proposal would entail.