Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How Cetera Is Helping Its Advisors Navigate the Pandemic
By Jeff BermanCEO Adam Antoniades highlighted three ways the firm helped advisors overcome economic and other challenges.
August 12, 2020
How to Choose a Model PortfolioA new Morningstar report is a good primer for advisors considering outsourcing investment management.
August 12, 2020
Pandemic Raises Risk of Advisor Misconduct, SEC WarnsFor example, advisors might be more likely to borrow money from a client or make a conflicted rollover recommendation, the SEC says.
August 12, 2020
Why Raymond James' Honest Talk About Racism MattersUncomfortable conversations are needed to solve this, as our firm showed with a recent webinar and Q&A about race and the workplace.
August 12, 2020
SEC Clarifies Use of 'Advisor,' 'Adviser' by Dually Registered FirmsThe FAQ explains how firms can market themselves while complying with Reg BI.
August 11, 2020
Securities America's CEO Re-Elected to FINRA BoardJim Nagengast first joined the board in 2018, when he was elected by large firms via a special election.
August 10, 2020
Interactive Brokers Paying $38M to Settle Mix of ChargesThe firm repeatedly violated anti-money laundering rules and failed to flag suspicious microcap securities trades, regulators say.
August 10, 2020
What Lower Rates Mean for Investors & Their Retirement PlansI've got some bad news for you about the historical trend — and some good advice on what you can do about it.