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Broker-Dealers: Staff Assessment of Risks, Scoping of Examinations, and Requesting of Documents*

Given the variety in the broker-dealer population, the Division utilizes a risk-based approach for both selecting firms to examine and in determining the scope of risk areas to review in...

Ranking Companies by Market Cap

1 · 3.53 T · $ 147.01 · United States of America · Semiconductors & Related Devices

Broker-dealer Rankings - InvestmentNews

Firm, Reps ▼, $100K-$499K reps, $500K+ reps ; LPL Financial LLC, 17,287, 0, 0 ; Advisor Group, 14,513, 4,362, 1,411 ; Lincoln Financial Network, 10,620, —, —

2022 Independent Broker-Dealer Survey: The Big Blur

April 1, 2022 • Eric Rasmussen ; As Jodi Perry, president of Raymond James’s independent contractor division sees it, the history of the broker-dealer industry is only half-written. In the last decade, the business has seen a wave of consolidation as firms with huge capital resources gobble each other up, leaving smaller firms to try navigating a rocky course of fee compression, regulation and a brutal war for talent—(especially talents with the biggest books of business). According to Cer...

Independent Broker-Dealer Survey

2024 Independent Broker-Dealer Survey: The IBD Universe And Its Systemic Evolution ; 2023 Independent Broker-Dealer Survey: IBDs Invest In Reps' Succession ; 2022 Independent Broker-Dealer Survey: The Big Blur

Services for Broker-Dealer Members - BYMA

DMA : Direct Market Access by FIX protocol (DMA-FIX) or Web Service technology (DMA – WS), RODI : The Internet Routing Direct Order System (RODI) is a customized web page where investors can send instructions to their intermediary. RODI can be easily linked to Member Brokers´ own websites.

2020 Independent Broker-Dealer Survey: Changing Times, Changing Tides

April 1, 2020 • Christopher Robbins ; Being an independent broker-dealer isn’t what it used to be. A series of regulatory, technological and consumer-driven disruptions are challenging independent broker-dealers (IBDs), says Adam Antoniades, CEO of Cetera Financial Group, and smaller firms may become the victims of change. “The environment continues to favor firms of scale,” says Antoniades. To view FA's 2020 broker-dealer ranking, Click here . To view FA's 2020 extended broker-dealer ra...

2024 Independent Broker-Dealer Survey: The IBD Universe And Its Systemic Evolution

April 4, 2024 • Eric Rasmussen ; There’s a concept in evolution called “punctuated equilibrium,” when long periods of stability and slow change are interrupted by cataclysms such as rising sea levels or mass extinction events that cause new species to branch off. Think of the meteor that brought about the decimation of the dinosaurs. Scientists now say that it also wiped out some competitive mammal groups, allowing our own mammalian forebears to bulk up and diversify, to be unleashed int...

2023 Independent Broker-Dealer Survey: IBDs Invest In Reps' Succession

April 1, 2023 • Eric Rasmussen ; As markets swooned and interest rates surged in 2022, at least one industry was likely quietly rejoicing: Broker-dealers, which have been facing combative regulators and fighting trench warfare with the RIA space, got a big reprieve last year. Higher interest rates mean millions of dollars in revenue that go directly to the bottom lines at independent B-D firms, all due to the client money they hold in cash sweep accounts. If you’re a company like LPL or Raym...

9 Best Forex Brokers of July 2024 - ForexBrokers.com

IG - Best overall broker, most trusted ; Saxo - Best web-based trading platform ; CMC Markets - Excellent overall, best platform technology ; Charles Schwab - Award-winning thinkorswim platform

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