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 ...

A large and important segment of the securities brokerage industry is composed of broker-dealers that classify their registered representatives as independent contractors. As an independent contractor ...

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 ...

The Public Company Accounting Oversight Board posted a staff report on testing transactions between broker-dealers and related parties. Processing Content According to PCAOB standard AS 2410, Related ...

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. Processing Content ...

The independent broker-dealer channel has emerged as a leading force in the US wealth management industry, outpacing other channels in advisor-managed asset growth and reshaping the competitive ...

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 ...

Change is inevitable in the financial services industry. Regulations evolve, technology advances, and client needs shift. These dynamics often lead advisors to make one of the biggest decisions in ...

Led by former FINRA Membership Application Program professionals, the team supports firms through New (NMA) and Continuing (CMA) Membership Application approvals CRC-Oyster, a full-service consulting ...