Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA's New Arb Award Rules Merely 'Nibbling' at Bigger Problem: PIABA
By Melanie WaddellThe amended rules prevent brokers with unpaid arbitration awards from switching firms, but there's a bigger issue, lawyers say.
May 21, 2020
3 Ways Advisors Can Succeed With VideoClients are using Zoom and similar tools like never before, so advisors should be connecting with them this way, too.
May 21, 2020
Smarsh Buys Cybersecurity Firm EntredaEntreda works with BDs, RIAs and wealth managers, while Smarsh focuses on larger firms.
May 21, 2020
Reg BI Unfair to Financial Planners, FPA Tells CourtFinancial planners are required to register as investment advisors but Reg BI allows brokers to avoid such registration, FPA said.
May 21, 2020
Raymond James, RBC and LPL Nab Wirehouse Reps Virtually: Recruiting RoundupThe firms recently added advisors from UBS, Morgan Stanley and Wells Fargo, despite the pandemic-related shutdown.
May 20, 2020
FINRA Legal Chief Clarifies Suitability Rule Status After Reg BIFINRA is also mulling getting rid of manual signatures, Chief Legal Officer Robert Colby says.
May 20, 2020
Community Support in the Time of COVID-19After addressing top-level safety concerns, we took an inventory of other ways to support our communities and employees.
May 19, 2020
Advisor Group Nabs Ex-United Capital CFOJon Frojen, who spent four years with the RIA/fintech platform (now owned by Goldman Sachs), previously was with Cetera.