Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Chief 'Cautiously Satisfied' With Reg BI but Seeing Some Troubling Trends
By Melanie WaddellThe SEC chairman shared his views during an interview with SIFMA CEO Ken Bentsen at the association's virtual event.
October 16, 2020
FINRA Bars Ex-Ameriprise Rep Who Took $42,000 From a ClientThe broker had been terminated after allegedly converting the elderly client's funds for his own use.
October 15, 2020
CFP Board Offers Remote Testing for Next ExamOf the 2,154 candidates who took the most recent CFP test, just 6% did so remotely.
October 13, 2020
Kitces: Rumors of Reg BI's Death Under Biden May Be ExaggeratedA new administration may not have the "appetite" for new rules but could reinterpret existing ones, the XY Planning co-founder says.
October 13, 2020
Fidelity Hiring 4,000 Workers, Including AdvisorsThe firm plans to hire thousands of financial advisors, licensed reps and customer service employees over the next six months.
October 13, 2020
Fidelity: RIA Deals Accelerate in Q3IBDs, meanwhile, seem to have entered a consolidation period after two years of transformative transactions, Fidelity reports.
October 12, 2020
LPL Hires BofA Exec as Chief Risk OfficerThomas Cappello, a former UBS advisor, is hired two months after LPL rolled out its employee advisor channel.
October 12, 2020
SEC Clarifies Form CRS Rules on Reporting Disciplinary HistoryThe clarification follows a report that at least 1,300 firms failed to report disciplinary or legal events on the form.