Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Edward Jones' Top Exec: How the Firm Is Managing Pandemic, Boosting Diversity
By Jane Wollman RusoffManaging Partner Penny Pennington tells ThinkAdvisor how the firm is handling what she calls a "triple pandemic" — medical, financial and social.
July 01, 2020
7 Ways Buyers Can Stand Out NowIn a seller's market for advisory firms, it pays to separate yourself from the crowd.
July 01, 2020
We Asked, Advisors Answered: How Can the Industry Increase Diversity?Ex-FPA President Frank Paré, Lazetta Rainey Braxton and others gave ThinkAdvisor their recommendations.
July 01, 2020
FINRA Plans Fee Hikes for 2022 and BeyondThe fee increases will be phased in over several years, the regulator says.
July 01, 2020
Senate Passes PPP ExtensionThe extension runs to Aug. 8; it would have to pass the House, which had approved a year-end extension.
June 30, 2020
Mnuchin, Senators in Talks to 'Repurpose' Unused PPP FundsThe Senate passed an extension to the program late Tuesday.
June 30, 2020
Morgan Stanley Among Adopters of New 4U Platform: Tech RoundupAlso, Advisor Group introduced Reg BI tools.
June 30, 2020
Hopkins, Kitces: As SEC's Reg BI Goes Live, Worries RemainCarson Group's Jamie Hopkins voices his concerns on Reg BI and the DOL proposal intended to align with it.