Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Limits Brokers' Ability to Serve as Beneficiaries
By Melanie WaddellA new rule requires firms' approval for brokers serving in positions of trust, such as beneficiary or executor, for clients.
October 28, 2020
Advisor Group to Expand Ladenburg's Training ProgramsThe program was crucial to the decision to buy Ladenburg and will be rolled out to the entire advisor network, CEO Jamie Price says.
October 28, 2020
Most Advisors Steered Clients Away From Selling at Market's Bottom: SurveyBut most of those clients took some persuading, Incapital reports.
October 28, 2020
SEC Issues Warning on Complex Investment ProductsExpanded access to self-directed accounts and complex investment products may require tighter controls, SEC officials said.
October 28, 2020
Schwab's Bettinger: More Job Cuts Ahead"This combination is not completely easy," the Schwab CEO said of the TD Ameritrade deal, laying out seven more competitive issues along with Advisor Services head Bernie Clark.
October 28, 2020
Why Firms Need Zero-Trust Cybersecurity, Especially NowCOVID-19 has meant advisors and employees work from home, a target for cybercriminals. Thus, security needs to be stepped up.
October 27, 2020
LPL Picks Up Portfolio Tool Maker for $12MThe deal to acquire Blaze Portfolios comes nearly two years after its $28 million purchase of proposal-generator AdvisoryWorld.
October 26, 2020
4 Ways to Avoid Decision FatigueTo get your team in the right marketing mindset, have everyone ask and answer several key questions.