Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wealth Management M&As Slow Dramatically: Fidelity
By Bernice NapachThere were just four deals in April, three involving RIAs.
May 13, 2020
FINRA: Fraud Continues to Be Major Challenge During PandemicThe "biggest potential problem" is phishing, risk oversight officer Bill Wollman says.
May 13, 2020
LPL to Open Tech Hub in TexasThe independent broker-dealer's campus in Austin is expected to have more than 100 employees.
May 12, 2020
Ex-Ladenburg BDs May Face Culture ClashLayers of questions now come up around fees, compliance policies and back-office services.
May 11, 2020
Iowa Adopts Best-Interest Standard for Annuity SalesThe division will repropose its rule for broker-dealers later this summer.
May 11, 2020
Advisor Group's BD Consolidation a 'Sign of the Times'Industry watchers weigh in on the plan to merge three former Ladenburg Thalmann BDs into Securities America.
May 11, 2020
FINRA Announces Delay in Online Test-Taking RegistrationThe broker-dealer regulator said late Sunday that it needs more time to pilot the online test-taking program.
May 11, 2020
Advisor Group to Close 3 Former Ladenburg BDsThe BDs are set to become part of Securities America by year-end.