independent broker dealers

Advisor Upside

Congress Weighs Axing FINRA. But Is SEC Ready to Pick Up the Slack?

Moving those responsibilities into the SEC would raise practical questions about resources and capacity, experts say.

2 min read

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Advisor Upside

Why FINRA Might Overhaul Its Arbitration System

The regulating body is asking the public for feedback on its dispute resolution process.

2 min read
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Advisor Upside

Why IBDs Are Quietly Becoming the Most Popular Channel

Independent broker-dealers were the fastest-growing wealth management channel year-over-year and now account for one in five advisors.

2 min read

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