Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC's New Accredited Investor Definition Gets Mixed Response
By Melanie WaddellSome industry players cheered the expansion, while others said it didn't go far enough.
August 26, 2020
The Top BDs of 2020 Sound Off on Private EquityLeaders of the four top firms describe what they see as PE's downsides vs. the upsides of being ownership-based.
August 25, 2020
Think Windfalls Are Just Good Luck? Think Again — Prospecting in a Pandemic, Part 2In the second of a four-part series, I look at why it pays to get ready for these career-changing opportunities.
August 24, 2020
Advisors' Tech Use: There's No Going BackLPL Chief Investment Officer Burt White and Managing Director Matt Enyedi share why advisors' technology use is set to remain as it is now.
August 24, 2020
Shed the Shame: Taking a PPP Loan Is Not What You ThinkAs firms grapple with this dilemma, it's important to note that PPP is not a bailout.
August 24, 2020
SEC to Take Up Long-Awaited Accredited Investor Definition ChangesAnna Pinedo, partner with Mayer Brown, expects one change will be that various FINRA broker-dealer licenses will be added regardless of net income/net worth.
August 21, 2020
In Reversal, DOL Will Hold Hearing on Fiduciary RuleThe department, which previously denied a request for a hearing, now has one planned for Sept. 3.
August 21, 2020
LPL Execs Urge Advisors to Charge for PlanningBy charging for planning, you can build and grow relationships and revenue, Andy Kalbaugh, a managing director at the BD, says.