Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How Advisors Can Help Kids in COVID-19 Times
By Kol Chu BirkeWhile working from home this summer, show children how you help others reach their goals and how they can do the same.
June 29, 2020
Empower to Buy Personal Capital in $1B DealThe price is a "stunning" premium for the robo-advisor, says popular blogger Michael Kitces.
June 29, 2020
SEC Releases Updated FAQ on Form CRSThe FAQ provides updates on questions related to broker-dealers as well as dual registrants.
June 29, 2020
XYPN Mulls Supreme Court Challenge to SEC Reg BIThis is one of two possible moves XYPN is considering after an appeals court upheld the rule, Michael Kitces said Monday.
June 28, 2020
Orion and Brinker Capital to Form $40 Billion FirmThe two companies' CEOs told ThinkAdvisor how the deal to create the huge TAMP came together.
June 26, 2020
SEC Prevails Over XYPN in Reg BI Suit"We are incredibly disappointed that the courts have ... allowed Regulation Best Interest to stand," said Michael Kitces of XY Planning Network.
June 25, 2020
Reg BI and the History of 'Fiduciary' DebateThe standards of conduct are core to how advisors and BDs do business.
June 25, 2020
IBDs & Wirehouses Roll Out New Programs, TechInnovation continues throughout the industry at this challenging time.