Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Files to Boost Arbitrators' Pay
By Melanie WaddellLawyers for investors support the pay hike but "we do not want arbitrators to be doing this as their living," says PIABA's Sam Edwards.
October 15, 2020
CFP Board Offers Remote Testing for Next ExamOf the 2,154 candidates who took the most recent CFP test, just 6% did so remotely.
October 13, 2020
Kitces: Rumors of Reg BI's Death Under Biden May Be ExaggeratedA new administration may not have the "appetite" for new rules but could reinterpret existing ones, the XY Planning co-founder says.
October 13, 2020
Fidelity Hiring 4,000 Workers, Including AdvisorsThe firm plans to hire thousands of financial advisors, licensed reps and customer service employees over the next six months.
October 13, 2020
Fidelity: RIA Deals Accelerate in Q3IBDs, meanwhile, seem to have entered a consolidation period after two years of transformative transactions, Fidelity reports.
October 12, 2020
LPL Hires BofA Exec as Chief Risk OfficerThomas Cappello, a former UBS advisor, is hired two months after LPL rolled out its employee advisor channel.
October 12, 2020
SEC Clarifies Form CRS Rules on Reporting Disciplinary HistoryThe clarification follows a report that at least 1,300 firms failed to report disciplinary or legal events on the form.
October 12, 2020
XYPN Rules Out Supreme Court Challenge to Reg BIXYPN has retained industry lobbyist Duane Thompson to help push for state-level fiduciary rules.