Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Makes Big Adjustments to CE Rules
By Melanie WaddellThose registered with FINRA must now complete continuing education requirements yearly instead of every three years.
November 17, 2021
World's 16 Biggest Wealth Management Firms by Advisor Headcount: 2021Here are the wirehouses, BDs and other firms who report having the most advisors, according to Aite-Novarica Group.
November 17, 2021
Bogus Broker Pleads Guilty to Securities Fraud, Faces Up to 25 Years in PrisonThe scammer posed as a broker and obtained over $2.7 million from at least 19 investors, prosecutors say.
November 17, 2021
Goldman's Solomon Says Market Greed Is Now Outpacing FearIf interest rates move up that "will take some of the exuberance out of certain markets," Goldman Sachs' CEO said.
November 16, 2021
FINRA Looks to Hold More Exams, Arb Hearings VirtuallyThe regulator says it will probably take a more "risk-based approach" in deciding whether to conduct an exam on-site.
November 16, 2021
World's 25 Biggest Wealth Management Firms by AUM: 2021Aite-Novarica Group crunched the numbers on big broker-dealers, wirehouses and other firms.
November 15, 2021
Ex-J.P. Morgan Rep Claimed He Ran Gardening Business to Get COVID Loan: FINRAFINRA has suspended the former broker from the industry for seven months.
November 12, 2021
What's in an Investor's Best Interest? Depends on Who You Ask: Dalbar"Best interest" as defined by advisors is not in sync with investors' priorities, the analysis found.