What is Causing the Decline in the Number of Registered Broker-Dealers?

Sample Template to Help Broker-Dealers Meet Regulatory Requirements

Broker-Dealer Filing Requirements Guide

SEC No-Action Letter: Clarifying the Definition of Custody

SEC Evaluating Scaled Approach for Broker-Dealer Reporting and Audit Requirements

Updates on Regulation Best Interest (Reg BI)

Senior Investor Protection: What Broker-Dealers and Investment Advisors Need to Know

SEC Best Interest Regulation – Reg BI

Potential Legislative Regulatory Changes: What You Should Know

FINRA to Focus on High Risk Firms and Brokers for 2018

Broker-Dealers May be on the Hook for Inadequate Audits

PCAOB Finds Deficiencies in Broker-Dealer Audits

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