Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Commonwealth Laying Off Home Office Staff: Report
By Dinah Wisenberg BrinThe move comes as LPL Financial integrates the firm, which it acquired in 2025.
July 10, 2026
Advisors, Take Note: SEC Rule Revamps Are on the WayThe agency's just-released Reg Flex agenda for 2026 includes several hot-button issues for advisors.
July 09, 2026
Best & Worst Firms for Advisor Satisfaction: JD Power, 2026Advisors with effective AI tools at work report higher satisfaction and more loyalty to their current firm.
July 08, 2026
Call for FINRA to Update Document-Request Rules Draws ScrutinyThe Rule 8210-related changes, part of a larger report, would make it easier for firms to block enforcement, PIABA's president argues.
July 06, 2026
New Bill Allows RIA Clients to Qualify as Accredited InvestorsIndustry trade groups applauded the Informed Investor Access Act.
June 29, 2026
Merrill to Pay $7.5M for Failing to File Suspicious Activity ReportsMerrill failed to investigate certain types of events under a BofA risk scoring system, the SEC said.
June 26, 2026
At House of Dimon, Troy Rohrbaugh Makes His Play for the Top JobOn Thursday, Rohrbaugh became the bank's co-president and now leads its sprawling consumer business after Marianne Lake's departure.
June 24, 2026
FINRA Ousts Morgan Stanley Broker Fired for Allowing Third-Party Access to Client's AccountJames Fredrick Tighe refused to testify about the allegations, FINRA says.