Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Altruist's Big Reveal Sent Wealth Management Stocks Tumbling. Here's What's Really Going On.
By John ManganaroWhile investors seemed to take the debut of an AI-powered tax tool as a new threat, an evolution is well underway.
February 05, 2026
FINRA to Send E-Delivery Rule Updates to SECBroker-dealers would be allowed to make e-delivery their default method when sending investor disclosures and other communications.
February 03, 2026
FSI Wants These Advisor Rules Modernized in 2026Two big priorities: Off-channel communications and an updated accredited investor definition.
February 02, 2026
Ameriprise Sees a 'Competitive' Advisor Recruitment MarketLife and annuity sales rose 6%.
February 02, 2026
FINRA Fines BD $750K Over TextingBenjamin Edwards didn't supervise employees' messaging nor preserve and review reps' business-related texts, the order states.
January 30, 2026
FINRA Hits Another BD With Reg BI, Form CRS FineGMS Group fell short on written supervisory procedures, according to the regulator.
January 28, 2026
Raymond James Launches AI Operations AgentDubbed Rai, the tech uses natural language processing and generative AI to support advisors' daily work.
January 26, 2026
Nearly 700 Commonwealth Reps Left LPL Last Year. Here's Where They Landed.A sizable portion of the departing financial professionals moved into RIAs or RIA-centric models.