Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Reg BI Is Here. Is Your Tech Ready?
By Angela PecoraroNow is a good time for BDs to reevaluate their legacy technology systems.
June 29, 2020
Why the Orion-Brinker Merger Is a Big DealThe deal makes Orion "substantially bigger overnight," said T3's Bruckenstein.
June 29, 2020
Empower to Buy Personal Capital in $1B DealThe price is a "stunning" premium for the robo-advisor, says popular blogger Michael Kitces.
June 29, 2020
SEC Releases Updated FAQ on Form CRSThe FAQ provides updates on questions related to broker-dealers as well as dual registrants.
June 29, 2020
XYPN Mulls Supreme Court Challenge to SEC Reg BIThis is one of two possible moves XYPN is considering after an appeals court upheld the rule, Michael Kitces said Monday.
June 28, 2020
Orion and Brinker Capital to Form $40 Billion FirmThe two companies' CEOs told ThinkAdvisor how the deal to create the huge TAMP came together.
June 26, 2020
SEC Prevails Over XYPN in Reg BI Suit"We are incredibly disappointed that the courts have ... allowed Regulation Best Interest to stand," said Michael Kitces of XY Planning Network.
June 25, 2020
Reg BI and the History of 'Fiduciary' DebateThe standards of conduct are core to how advisors and BDs do business.