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 ...

John Peterson wanted his small financial advisory firm, CWM Financial Group in Gaithersburg, Md., to grow but he had reached his limit for handling new clients. He turned to a larger firm for help.

Priority Financial Group, with an RIA of $3.1 billion in assets, is moving its broker-dealer operations to United Planners' ...

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, ...

Crowdfund Insider is the leading news website covering the emerging global industry of disruptive finance including ...

The Dutch neobank had applied for a banking license in 2023 but withdrew that bid over a “difference of views” among the OCC, ...

What You Need To Know: The staff of the Securities and Exchange Commission’s (SEC) Division of Trading and Markets (the Staff) releases frequently asked questions (FAQs) addressing the Staff’s views ...

tZERO's Special Purpose Broker Dealer (one of two in the US) and Tokenization Unit continue to lead compliant Digital Securities end-to-end lifecycle, new capabilities to enhance transparency, ...

With the Dow Jones Industrial Average shooting up 3.5 percent Wednesday in the wake of former President Donald J. Trump’s election once again to the White House, publicly traded broker-dealers and ...

Asset managers struggle to find shelf space for newly launched ETFs on broker/dealer platforms, including actively managed ...

Investors Security Company Inc., a broker-dealer in Suffolk, Va., has agreed to become an affiliate of Securities America, the nation's eighth-largest broker-dealer. Legacy Financial Planning, an ...