Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
XYPN Rules Out Supreme Court Challenge to Reg BI
By Melanie WaddellXYPN has retained industry lobbyist Duane Thompson to help push for state-level fiduciary rules.
October 08, 2020
LPL to Add $14B Bank-Based Advisory GroupThe news comes two months after M&T Bank of Buffalo, New York, said its $20 billion wealth business would move onto the IBD's platform.
October 08, 2020
SEI Launches Investor Tax Savings Report for Advisors: Tech RoundupAlso, Advisor Group enhances its MyCMO marketing platform and JPMorgan teams with 55ip.
October 08, 2020
LPL Adds Health Care, Benefits Programs for AdvisorsPaychex has joined LPL's Vendor Affinity Program and is offering its services with no minimum employee requirements.
October 08, 2020
FINRA Postpones Arb Hearings for Rest of 2020Arbitrators are concerned about the safety of in-person hearings, FINRA says.
October 07, 2020
SEC OKs Fund of Funds Update, New 'Finders' ExemptionThe Democratic commissioners dissented on the finders exemption, with Crenshaw stating finders can engage "in core broker-dealer activities" without registration.
October 07, 2020
SEC Slaps BD for Text Message SnafusThe firm was fined $100,000 for failing to retain business-related messages.
October 06, 2020
Ed Slott: Advisors Falling Behind on Reg BI Rollover Compliance"Most advisors don't have a process" to discuss the pros and cons of rollover options, Slott tells ThinkAdvisor.