11 Best & Worst Broker-Dealers: Q4 Earnings, 2016
Earnings growth in the financial sector has been robust so far, according to LPL’s CIO Burt White.
PE Firm to Buy Financial Compliance Outsourcer
Lovell Minnick, an owner of Lincoln Investment Planning, is set to acquire Foreside Financial Group, which works with BDs and IAs.
Will DOL fiduciary rule drive RIAs to — or from — BDs?
Broker-dealers have an opportunity to ease RIAs’ compliance burden brought by the DOL fiduciary rule.
Brexit Sends Banks, BDs Reeling
Analysts say that the British vote will hurt the earnings of big banks and BDs, but one contrarian says it's time to buy the sector.
Best Full-Service Investment Firms Ranked by Investors: J.D. Power — 2016
Overall satisfaction has weakened across full-service broker-dealers, the survey finds.
What BD Presidents Think of DOL Fiduciary Rule, in 5 Charts
An exclusive Investment Advisor magazine survey of the heads of independent broker-dealers reveals what they expect from the newly issued regulatory framework.
14 Midmarket BDs Form New Lobbying Group
Raymond James, Baird, Stifel and other members want to promote middle-market, regional firms through the American Securities Association.
FINRA to Examine BDs for Conflicts of Interest
With compliance costing the industry $300 billion since 2010, the self-regulator wants BDs to answer questions on "cultural values" in a targeted exam.
DOL's fiduciary regs may be especially bad for insurance BDs
A Cerulli report warns that insurance broker-dealers face the greatest fiduciary risk among all advisor channels.
Broker-dealer advisors at historic crossroads
With or without the DOL's urging via its fiduciary rule, the market suggests the end is near for the broker-dealer advisor business model.