Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Treasury's Crime Unit Seeks Comments on AML Rule Changes
By Melanie WaddellPlanned changes would "modernize the regulatory regime to address the evolving threats of illicit finance," FinCEN states.
September 15, 2020
Raymond James to Trim Some 500 JobsThe news comes one day after Citigroup said it would cut its global workforce by about 1%.
September 15, 2020
Cheating on Exams Will Get You Barred, FINRA WarnsFINRA plans to issue a reg notice seeking comment on a "new expedited proceeding" rule for reps and nonreps who cheat on exams.
September 10, 2020
FINRA Fines Former LPL, Woodbury Rep Who Accepted Client's GiftsThe broker, now suspended for four months, inherited over $715,000 after her "second cousin once removed" died, the regulatory group says.
September 10, 2020
How Behavioral Finance Can Help Clients and AdvisorsAdvisors using these techniques tend to educate clients about potential volatility and urge them to expect it, according to a recent industry report.
September 10, 2020
How to Talk Politics With Clients Ahead of the ElectionHartford Funds' John Diehl says these chats "can uncover further details on what clients' value ... and ultimately help foster a strong, effective relationship."
September 10, 2020
Top 10 Questions Investors Are Asking Right Now: LPLRyan Detrick, chief market strategist for LPL Financial, tackles top concerns as the volatility index, or VIX, starts to creep up again.
September 10, 2020
RIA in a Box Added to SEI Wealth: Tech RoundupAlso, Envestnet rolls out a retirement analytics solution for broker-dealers, as Advicent announces a Naviplan-MX development.