Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
What Advisors Think of Biden's $1.5T Tax Plan
By Melanie Waddell"Should these proposals prevail in Congress, financial planners will be more valuable than ever," one advisor told us.
April 26, 2021
FINRA Provides Advice for BDs to Fight FraudFINRA warned early this month that the regulator's exams this year would focus on BD filings of SARs.
April 26, 2021
JPMorgan Gets Restraining Order Against Ex-AdvisorsThe firm's former advisors resigned from JPMorgan and joined LPL network firm Professional Wealth Advisors, allegedly soliciting clients to follow them.
April 26, 2021
10 Ways to Ask for ReferralsEvery advisor needs to actively seek referrals. Here are 10 specific ways to build your client base.
April 26, 2021
IRS to Fix Inherited IRA Guidance That Confused AdvisorsThose who inherited an IRA in 2020 should wait for more guidance from the agency before taking a 2021 RMD, Ed Slott says.
April 26, 2021
Biden to Set $1M Threshold for Capital Gains Tax HikeThe increase likely affects "three-tenths of a percent of taxpayers," or some 500,000 U.S. households, says the head of the National Economic Council.
April 26, 2021
Which Tax Hikes Are Most Likely?Tax measures floated by President Biden and lawmakers prompt a hot debate; tax experts Greg Valliere and Allison Hutchins weigh in.
April 26, 2021
The Pros and Cons of Being a Data-Driven AdvisorRelying too much on data can make you miss what's most relevant to your business.