Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
More States Adopt Advisor CE Requirements
By Thomas D. GiachettiWhile many jurisdictions have adopted rules similar to the NASAA model rule, rules vary from state to state.
September 02, 2022
Schwab Teams With CFP Board on New Scholarship to Boost DiversityThe Charles Schwab Foundation CFP Certification Scholarship is part of Schwab Advisor Services' ongoing diversity efforts.
September 01, 2022
Ex-Merrill Rep Settles Smoothie Lawsuit for $7,500James Iannazzo's lawyer called the settlement a "token payment."
September 01, 2022
Vanguard Sees Value Stocks Beating Growth in Next DecadeThe firm sees a 25% likelihood of recession in the next 12 months, 65% in the next 24.
September 01, 2022
Goldman Closes on NextCapital Purchase: Tech RoundupAlso, Goldman Sachs finalizes its purchase of robo-advisor NextCapital Group.
September 01, 2022
Commonwealth Recruits New Chief Privacy Officer From LPLMichelle Kelley has also been named deputy general counsel and senior vice president.
August 31, 2022
Income for Life: Strategies to Avoid Running Out of Money in RetirementFrom emergency savings to annuities to tontines, there are plenty of tools for creating an income stream that lasts.
August 30, 2022
Top 10 RIA Deals in the First Half of 2022Echelon Partners and DeVoe & Co. both say 2022 is on track to be a strong year for M&A despite shifting trends.