Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
College for Financial Planning Launches Behavioral Finance Program
By Bernice NapachAdvisors who complete the eight-week program can receive an accredited designation.
November 20, 2020
Morgan Stanley Fires Brokers Over Legacy Account PaymentsThe firings involve a program allowing departing brokers to split fees and commissions with the reps who inherit their accounts.
November 19, 2020
SEC: Compliance Officers Need More AuthorityA new Risk Alert flags numerous areas where advisors are falling short on the Compliance Rule.
November 19, 2020
Ex-Broker Charged With Murdering a Client in TexasPolice said they found evidence that Keith Ashley killed the client "in an attempt to gain control of his finances" and was running a Ponzi scheme.
November 19, 2020
4 Steps for Turning Ideas Into ActionUnless you put your thoughts into practice and see how well they actually work, they can't benefit your business.
November 18, 2020
8 'Must Know' Advisor TrendsVIPs weigh in on the industry's outlook for 2021 and specific issues like robo-advisors, hiring and dealmaking.
November 18, 2020
FINRA Pushes Ahead With More Bad-Broker RulesOne of the rules would place new obligations on BDs whose records raise investor-protection concerns.
November 17, 2020
'One Bad Rule After Another': Top Democrat Takes SEC's Clayton to Task"It doesn't seem like you have any way to tell if this rule will help at all," Sen. Sherrod Brown said of Reg BI.