Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wells Fargo Removing Some Restrictions in Customer Arb Agreements: CEO
By Melanie WaddellWells Fargo is "removing confidentiality restrictions in all types of customer arbitration agreements that have them," CEO Scharf told senators.
May 25, 2021
Number of Registered Reps Falls for Fifth Straight Year: FINRAThe number of BD firms has fallen every year for more than a decade, FINRA reports.
May 25, 2021
It's an Advisor's World as BD, RIA Options MultiplyHere's what advisors are demanding from broker-dealers and other industry players now, according to recruiters Louis and Mindy Diamond.
May 24, 2021
Trendspotter: Why Reg BI Will Push More BDs Into RIA ModelThe compliance costs, and SEC Chair Gensler's signaling that he's serious about enforcement, are accelerating a trend in progress.
May 21, 2021
Why Direct-Sold 529s Are Better Than Advisor-Sold Plans: MorningstarAdvisor-sold 529 plans can include 12b-1 fees. Morningstar isn't a fan.
May 21, 2021
Top 8 News Stories of the WeekThis week's biggest news stories include trading accounts for teenagers and the naming of future CEO candidates for two big banks.
May 21, 2021
Reg BI Exams: Here's What to ExpectAreas of focus include rollovers, fees and complex products.
May 20, 2021
BlackRock Strengthens Aladdin Platform's Trading Capabilities: Tech RoundupAlso, AdvisorPeak becomes the first trading and rebalancing platform to be offered on Invent's cloud tech platform.