Broker Dealers

Read about the industry's top broker-dealers, including news, analysis, commentaries and more.

Advisors, Take Note: SEC Rule Revamps Are on the Way

July 10, 2026

Advisors, Take Note: SEC Rule Revamps Are on the Way
Best & Worst Firms for Advisor Satisfaction: JD Power, 2026

July 09, 2026

Best & Worst Firms for Advisor Satisfaction: JD Power, 2026
Call for FINRA to Update Document-Request Rules Draws Scrutiny

July 08, 2026

Call for FINRA to Update Document-Request Rules Draws Scrutiny
New Bill Allows RIA Clients to Qualify as Accredited Investors

July 06, 2026

New Bill Allows RIA Clients to Qualify as Accredited Investors
Merrill to Pay $7.5M for Failing to File Suspicious Activity Reports

June 29, 2026

Merrill to Pay $7.5M for Failing to File Suspicious Activity Reports
At House of Dimon, Troy Rohrbaugh Makes His Play for the Top Job

June 26, 2026

At House of Dimon, Troy Rohrbaugh Makes His Play for the Top Job
FINRA Ousts Morgan Stanley Broker Fired for Allowing Third-Party Access to Client's Account

June 24, 2026

FINRA Ousts Morgan Stanley Broker Fired for Allowing Third-Party Access to Client's Account