Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Commonwealth Still Grappling With SEC Over 12b-1 Fees
By Melanie WaddellThe regulator wants more data about revenue sharing, as the firm seeks a protective order.
September 09, 2020
Cambridge to Make Advisor Tech 'Cloud Native'The 3,500-advisor BD is working toward "a limited demo for review" later this year, said one executive.
September 08, 2020
JPMorgan Probes Employees' Role in Misuse of Relief FundsThe bank issued about 280,000 loans totaling more than $29 billion, according to SBA data.
September 04, 2020
$1.4B Merrill Team Jumps to RBC WealthThe firm says it has recruited wirehouse and other reps with about $20 billion in assets so far this year.
September 04, 2020
JPMorgan Nabs Vanguard Exec, Plans to Hire Hundreds of Remote AdvisorsThe bank's push into digital advice comes about nine months after it restructured its wealth management operations.
September 04, 2020
Schwab, Vanguard, Other Platform Glitches Unrelated to Apple, Tesla Splits, Firms SaySeveral major trading platforms experienced outages and other problems on the day of the stock splits.
September 03, 2020
DOL to Move Ahead on Fiduciary Plan Despite CriticismLabor says it won't hold a second hearing or reopen comments; critics say it should wait and see how Reg BI plays out.
September 03, 2020
Envestnet | MoneyGuide Teams With FIDx on Annuities: Tech RoundupAlso, Lincoln Investments selected Riskalyze for tech.