Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Robinhood Prediction Market Revenue to Top Crypto: Analysts
By Elena EisenstadtAnalysts over the past few months highlighted a shift toward prediction markets on exchanges like Robinhood.
July 20, 2026
Why FINRA Is Requiring Less Exam Data From BDsThe regulator has reduced data requests for exams by 12% and will examine lower-risk firms less frequently.
July 16, 2026
Commonwealth Laying Off Home Office Staff: ReportThe move comes as LPL Financial integrates the firm, which it acquired in 2025.
July 16, 2026
Nearly a Third of Commonwealth Advisors Left After LPL Acquisition: ReportRaymond James has been a major destination for former Commonwealth wealth management professionals.
July 15, 2026
Ex-Ameriprise Rep Wins $200K, Expungement in Defamation CaseBrooke Pilant claimed defamation, intentional misrepresentation and tortious interference. A FINRA arb panel agreed.
July 10, 2026
Advisors, Take Note: SEC Rule Revamps Are on the WayThe agency's just-released Reg Flex agenda for 2026 includes several hot-button issues for advisors.
July 09, 2026
Best & Worst Firms for Advisor Satisfaction: JD Power, 2026Advisors with effective AI tools at work report higher satisfaction and more loyalty to their current firm.
July 08, 2026
Call for FINRA to Update Document-Request Rules Draws ScrutinyThe Rule 8210-related changes, part of a larger report, would make it easier for firms to block enforcement, PIABA's president argues.