Under Pressure: The 2017 Broker-Dealer Reference Guide
For the firms participating in Investment Advisor's annual Broker-Dealer Reference Guide, the competitive and convoluted atmosphere they face today can be perplexing.
Destination Unknown: The 2017 Broker-Dealer Presidents Poll
Even with the tremendous complexity and ambiguity tied to the Department of Labor's fiduciary rule, broker-dealer leaders remain cautiously upbeat about the business model and its future.
Industry conferences give you the chance to take a new look at your job, your life and your view of success.
DOL's (Possible) Loss Could Be Your Gain
Many advisors are lamenting attempts to dismantle the Department of Labor's new fiduciary rule. I have a different take on this.
Indie BDs Are Dwindling. Should FINRA Be Concerned?
It's a question that caused even former SEC Chairwoman Mary Jo White to scratch her head: Why are the number of broker-dealers dwindling?
DOL Looking for Reason to Delay Full Fiduciary Compliance Date: Lawyer
The department says it will issue a Request for Information; the findings could give it cover to delay past Jan. 1, lawyer Erin Sweeney says.
Amy Webber — Next-Gen Nurturer: The 2017 IA 25
Cambridge's new CEO credits her early start in the industry as a reason for her passion to support the next generation of independent advisors.
Raymond James Adds 2 Teams from Wells Fargo: Recruiting Roundup
Meanwhile, HighTower brings on a breakaway group from Merrill Lynch in Florida.
BD Stocks Feel Bite as DOL Fiduciary Deadline Nears
Meanwhile, financial analysts say Trump could bring broker-dealers, insurers and asset managers relief from some aspects of the reform package.
A 7-Point Checklist for Advisors to Protect Against Cyberattacks
Former Homeland Security Secretary Michael Chertoff offers his recommendations on how financial firms can prevent or limit the impact of an attack.