Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Kitces: The 5 Trends Shaking Up the Advisor World
By Jeff BermanA new wave of technological disruption is here, Michael Kitces says. What's an advisor to do?
September 29, 2021
DOJ, SEC Charge Ex-Advisor With Bilking 3 Older ClientsThe ex-broker used the money to pay for luxury cars, vacations, private school tuition and a gold necklace, according to the authorities.
September 29, 2021
The History of the Financial Planning Profession, Part 1Let's take a look at how the profession has evolved so we can better understand where it's going.
September 29, 2021
FINRA Adopts Restricted Firm RulesThe rules impose new obligations on broker-dealers with a significant history of misconduct.
September 28, 2021
Interactive Brokers Fined $1.75M for Failures Amid Oil Futures Price CollapseThe firm's trading system was unprepared when prices turned negative in April 2020, according to the CFTC.
September 28, 2021
Reg BI Compliance Requires 'Tailored' Policies and Procedures: SECGive registered reps specific examples of how to accomplish Reg BI's requirements, the SEC's Asset Management director suggests.
September 28, 2021
To Boost Diversity, Go 'Where the Talent Is': Ameriprise's Rudy RodriguezThe Ameriprise executive explains how the industry can better recruit and retain advisors from diverse backgrounds and communities.
September 27, 2021
A Strategy for When Your Friends Are Chosen for YouWhen chance or circumstance throws you and new people together, silence can be less than golden. Here are some pointers.