Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Suspends Ex-Cetera Rep Over Unauthorized Trucking Investment
By Jeff BermanThe broker violated FINRA rules by participating in a $30,000 private securities investment without notifying the firm.
July 01, 2020
We Asked, Advisors Answered: How Can the Industry Increase Diversity?Ex-FPA President Frank Paré, Lazetta Rainey Braxton and others gave ThinkAdvisor their recommendations.
July 01, 2020
FINRA Plans Fee Hikes for 2022 and BeyondThe fee increases will be phased in over several years, the regulator says.
July 01, 2020
Senate Passes PPP ExtensionThe extension runs to Aug. 8; it would have to pass the House, which had approved a year-end extension.
June 30, 2020
Mnuchin, Senators in Talks to 'Repurpose' Unused PPP FundsThe Senate passed an extension to the program late Tuesday.
June 30, 2020
Morgan Stanley Among Adopters of New 4U Platform: Tech RoundupAlso, Advisor Group introduced Reg BI tools.
June 30, 2020
Hopkins, Kitces: As SEC's Reg BI Goes Live, Worries RemainCarson Group's Jamie Hopkins voices his concerns on Reg BI and the DOL proposal intended to align with it.
June 30, 2020
Reg BI Is Here. Is Your Tech Ready?Now is a good time for BDs to reevaluate their legacy technology systems.