Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
What to Do About the Return of the DOL Rule
By Thomas D. GiachettiBy Dec. 20, broader "prohibited transaction exemption" rules will be mandatory, and advisors will need to comply.
April 23, 2021
Biden's Capital Gains Tax Hike Wouldn't Just Hit the Wealthy, Advisors SayJeffrey Levine and other advisors discuss how to position clients, including non-millionaires, for this potential tax increase.
April 23, 2021
Supreme Court Ruling on Social Security Disability Could Have Broad EffectsThe case hinges on how strict an agency's standards for appealing administrative law judge decisions can be.
April 23, 2021
Meet the Judges for Our New Awards ProgramHere are the 13 industry VIPs selecting the 2021 winners of our new awards program, The ThinkAdvisor LUMINARIES.
April 23, 2021
Commonwealth Nabs LPL Exec as General CounselPeggy Ho spent 14 years at LPL, most recently as head of government relations and chief of staff for compliance, legal and risk.
April 23, 2021
FINRA Warns BDs on Arbitration AgreementsSome firms are attempting to improperly limit the claims that customers can file with FINRA.
April 22, 2021
Biden Eyeing Tax Rate as High as 43.4% in Next Economic PackageFor many wealthy individuals, the new marginal capital gains tax rate would be a steep increase from the current base rate of 20%.
April 22, 2021
Meet the 2021 IA25: VIPs Pushing Advisors ForwardThis year's list features advisors, experts and leaders in financial services who are breaking new ground.