Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Court Expedites Reg BI Oral Arguments
By Melanie WaddellThe case brought by XY Planning Network and the state AGs shall be heard on June 2.
May 08, 2020
Registration Starts May 11 for FINRA, NASAA Online Test TakingFINRA has also filed a proposed rule with the SEC to allow for certain documents to be delivered via email.
May 07, 2020
SEC Fines Bloomberg Tradebook $5MThe broker misrepresented its order routing practices, the SEC said.
May 07, 2020
Ameriprise Tops Q1 Estimates as Wealth Unit Sees 'Strong Client Activity'It has some 9,878 independent and employee advisors, up 7 from the prior quarter.
May 07, 2020
Raymond James Adds $507M UBS Advisors: Recruiting RoundupMeanwhile, LPL picks up another group from Securities America; this one is based in Texas.
May 06, 2020
PPP Loan Distribution Doesn't Reflect Need: New York FedResearchers found a surprising explanation for the disparity.
May 06, 2020
What It Takes for Investors to Trust the Investment Management IndustryAmong professions, financial services ranks in the middle tier of trust while medicine ranks at the top, the CFA Institute reports.
May 06, 2020
FINRA Announces Reduced-Fee Mediation ProgramParties can use remote mediation at significantly reduced fees through Aug. 31.