Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Chief: Firms 'Meeting Their Obligations' on Reg BI
By Melanie WaddellBut some areas of Form CRS need improvement, Jay Clayton says.
October 23, 2020
FINRA Amends Sanction Guidelines to Protect Older AdultsThe revision, effective immediately, "is consistent with FINRA's view that certain investors may need additional protections," says attorney Brian Rubin.
October 22, 2020
UBS Expands Workplace Wealth Solutions: Tech RoundupAlso, LaSalle St. is the latest firm to launch a financial planning platform.
October 22, 2020
$1.1B Merrill Team Jumps to JPMorganThe four-member Campbell Group made the move in San Francisco and is led by Gwen Campbell.
October 21, 2020
Janney Reports Big Jump in Advisors' Use of Social Media, TextsThe BD says virtual client communication via Hearsay Systems' compliant tools is up significantly during the pandemic.
October 20, 2020
Ex-SagePoint Rep Invested Clients' Funds in Sham Pension SchemeThe former broker invested $210,000 of his client's money in private securities transactions without his firm's approval, FINRA says.
October 20, 2020
RBC Recruits $1.2B All-Female JPMorgan TeamThe New York-based group includes three advisors, all of whom have been in the business for more than 20 years.
October 20, 2020
Commonwealth Adds Its First Chief Diversity and Inclusion OfficerScarlett Abraham Clarke joins the firm from Bright Horizons.