A large and important segment of the securities brokerage industry is composed of broker-dealers that classify their ...

Cambridge Investment Research has acquired Dempsey Lord Smith, integrating the Georgia-based firm as a fully owned enterprise ...

Founder and CEO Jerry Dempsey is dropping the firm’s broker/dealer status to partner with Cambridge on the thesis that ...

On August 12, the SEC issued published a settled enforcement action order against a broker-dealer for failing to monitor, investigate, and file Suspicious Activity Reports (SARs) between March 2020 ...

Cambridge Investment Research, the Fairfield, Iowa-based broker-dealer with $245 billion in assets under advisement, has acquired Dempsey Lord Smith, an independent financial services firm that ...

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 ...

The Public Company Accounting Oversight Board released a new staff publication aimed at auditors of broker-dealers who are performing review engagements involving exemption reports. The publication, ...

PFG, a Phoenix-based firm with nearly $5 billion in assets under administration, today announced its transition from Osaic to United Planners Financial Services ("United Planners") as the ...

Welcome to "Show Me Your Stack," a series from Financial Planning in which we interview those who deliver financial advice to learn what tools they rely on to make it happen. Rising client ...

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. "Overall, in 2023 we ...

London-based Globacap’s U.S. broker-dealer and alternative trading system (ATS) is regulated by FINRA and the SEC.