Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Releases Exam Cheating Rule Proposal
By Melanie WaddellFINRA's plan seeks an expedited proceeding for brokers who cheat on exams; comments are due by Nov. 23.
September 21, 2020
Franklin Templeton Launches New Tool for Advisors: Portfolio ProductsAlso, Invesco expands its lineup of Defined Maturity Bond ETFs.
September 18, 2020
FINRA Advances Rules on Senior Exploitation, E-SignaturesFINRA plans to publish a Regulatory Notice seeking comment on amendments to its senior exploitation rule.
September 18, 2020
What's Up With the LPL-Morningstar Relationship?The research firm says it's "disappointed" by the IBD's decision tied to the use of Morningstar Office for consolidated reporting.
September 18, 2020
Biden Would Kill SEC's Reg BI: Morningstar AnalystIf Biden wins, there will be "support for enhancing standards of conduct above Reg BI," said Aron Szapiro, Morningstar policy research head.
September 17, 2020
Should CFAs Be Accredited Investors?We polled advisors on which designations should be included in the definition. We got some interesting responses.
September 16, 2020
AARP Expands BankSafe Training Platform to Financial AdvisorsThe platform is designed to help financial professionals identify and prevent financial exploitation of seniors.
September 16, 2020
Treasury's Crime Unit Seeks Comments on AML Rule ChangesPlanned changes would "modernize the regulatory regime to address the evolving threats of illicit finance," FinCEN states.