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 ...

ANN ARBOR, Mich., Feb. 2, 2026 /PRNewswire/ -- Concorde announced today that Ashley Romiti, founder and president of GCA 1031, has joined the firm's broker-dealer, Concorde Investment Services. Romiti ...

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 ...

Hidden Road received a license to operate as a broker-dealer, part of the firm’s expansion of its prime-brokerage business to reach more institutional investors. The company, which last week announced ...

The Palm Beach Hedge Fund Association (PBHFA) today announced a strategic partnership with Joseph Gunnar & Co., LLC, a full-service broker-dealer, investment adviser, and investment bank focused on ...

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 ...