Mark Cussen, CMFC, has 13+ years of experience as a writer and provides financial education to military service members and the public. Mark is an expert in investing, economics, and market news.

Almost all proprietary trading firms that are currently registered as broker-dealers with the Securities and Exchange Commission (SEC) would likely be required to join the Financial Industry ...

Most large broker-dealers hope to lure advisors into their ranks (or hold onto them) by boasting about their size. They warn reps that there are perils to going to a small B-D—that smaller firms lack ...

Transitioning from a broker-dealer to an RIA means moving from earning a commission for buying and selling products to a fee-based professional advice model. There are two ways to form a full-service ...

Crypto has solved tokenization, but not distribution and Prometheum says broker-dealers and RIAs are the key to bringing ...

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 ...

As momentum builds around defined contribution plans driven by the convergence of wealth, retirement and benefits at the workplace, the DC industry gathered at a high-level roundtable hosted by ...

Zaw Thiha Tun is currently an investment advisor for PI Financial Corp. He is also a financial writer on a wide variety of topics. Charlene Rhinehart is a CPA , CFE, chair of an Illinois CPA Society ...

The Public Company Accounting Oversight Board reported Friday it uncovered a high rate of deficiencies last year in firms that perform audits of broker-dealers similar to 2020, but there were signs of ...

The Bank Secrecy Act (“BSA”) and implementing regulations promulgated by the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) require that broker-dealers file a suspicious ...

Prometheum's Aaron Kaplan on why clearing ETH inside a US brokerage account changes the conversation and what still needs to ...

FLASH FRIDAY is a weekly content series looking at the past, present and future of capital markets trading and technology. FLASH FRIDAY is sponsored by Instinet, a Nomura company. On Friday, February ...