Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
State Securities Regulators See Spike in Unregistered Advisor Cases
By Melanie WaddellNearly 30 jurisdictions have enacted rules or legislation based on NASAA's model rule to help prevent financial exploitation of older investors.
September 25, 2020
FINRA Moves Ahead on Expungement ChangesThe changes fill holes in the process, but expungement shouldn't be handled by arbitrators at all, investor lawyers say.
September 24, 2020
13 Highest Paid CEOs in Financial Services: 2020The top leader on this list, a wirehouse executive, earned 550 times the median employee in 2019.
September 24, 2020
Which BDs Are Weakest, Strongest in Bad Markets?When advisors shop for a new broker-dealer, the thought of bear market vulnerability is rarely on their radar — but it should be.
September 23, 2020
FINRA Working on Reg BI Guidance, Mulling Exam Changes: CookIn the future, in-person BD exams likely will be considered "more on a risk-based framework," says the regulator's CEO.
September 23, 2020
Time to Applaud Advisors, Cheer Female CEO NewsThe many ways advisors are helping clients in the pandemic and recent CEO appointments are some the most positive news of 2020.
September 23, 2020
The Best Ways to Find and Build Your Client NicheAdvisors explain how they've done this successfully by soul-searching, working with partners and trying different growth techniques.
September 23, 2020
9 Inspiring Advisor Stories of 2020In the midst of 2020's highly challenging circumstances, here's how nine advisors have been going above and beyond for their clients.