The 2015 Broker-Dealers of the Year Are Ready to Rumble
The Broker-Dealers of the Year, as chosen by their own reps, will take on the DOL and anyone else who threatens the IBD model.
Wells Fargo Indie Group Adds 2 Ex-Morgan Stanley Advisors
The team, which has about $190 million in assets, was with LPL Financial before working for the wirehouse.
Financial Stocks Under Pressure
Some broker-dealers and related shares fell more than the market on Monday in volatile trading.
Schwab Hit With $2M FINRA Fine Over Net Capital Deficiencies
On three occasions in 2014, Schwab was short on net capital by as much as $775 million.
FINRA Enforcement: Sterne Agee Fined Over Lost Laptop
Meanwhile, Capital Guardian was fined for failing to detect suspicious transactions involving Venezuelan bonds.
Arthur Levitt: SEC Deadlocked on Fiduciary, Advisors Need DOL Rule
As the Investment Advisers Act turns 75, ex-SEC Chairman Arthur Levitt, CFA’s Barbara Roper and more discuss why the industry needs a strong fiduciary standard.
It's a Good Time to Visit Muniland, but Come Prepared
David Kotok, co-author of "Adventures in Muniland," and Matt Fabian of Municipal Market Analytics counsel muni bond investors on what to watch out for.
When Managing Trading Data, Ditch the Spreadsheet
As technology has made trading more advanced, it’s also put more pressure on firms to manage and store all that data.
FINRA Sweeping BDs on Comp Practices
Recruiter Jon Henschen says FINRA treats BDs like "moonshiners," made to pay "extortion money" in the form of fines for breaking ever-more convoluted rules.
Boomers Drive IRA Rollover Surge, Advisors Lead Pack as Recipients: Cerulli
Aging Baby Boomers who consolidate their accounts will push asset growth to $12 trillion by 2020 and advisors, so far, are getting most of it.