Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
World's 16 Biggest Wealth Management Firms by Advisor Headcount: 2021
By Michael S. FischerHere are the wirehouses, BDs and other firms who report having the most advisors, according to Aite-Novarica Group.
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.
November 11, 2021
With Reg BI, 'Think Broadly' About Recommendations: SEC's LeeThe commissioner warned BDs to consider how Reg BI could affect their communications, tech use and even account opening practices.
November 11, 2021
Schwab Asks Court to Dismiss Class-Action Suit Over Cash SweepsThe firm says the case should be dismissed "for lack of jurisdiction" and a "failure to state a claim on the merits."
November 09, 2021
FINRA Fines Aegis Capital Over Unsuitable TradesNearly 70 customers' accounts were potentially excessively and unsuitably traded by the firm's reps, according to FINRA.