Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Smarsh Buys Cybersecurity Firm Entreda
By Janet LevauxEntreda works with BDs, RIAs and wealth managers, while Smarsh focuses on larger firms.
May 20, 2020
FINRA Legal Chief Clarifies Suitability Rule Status After Reg BIFINRA is also mulling getting rid of manual signatures, Chief Legal Officer Robert Colby says.
May 20, 2020
Community Support in the Time of COVID-19After addressing top-level safety concerns, we took an inventory of other ways to support our communities and employees.
May 19, 2020
Advisor Group Nabs Ex-United Capital CFOJon Frojen, who spent four years with the RIA/fintech platform (now owned by Goldman Sachs), previously was with Cetera.
May 19, 2020
LPL to Roll Out AdvicePay ToolCreated by Michael Kitces and Alan Moore, AdvicePay lets advisors accept payments via credit card or electronic bank transfer.
May 19, 2020
SEC Reg BI, Form CRS Exams to Start in JulyFirms should prepare for some standalone Reg BI and Form CRS exams as well as regular exams, said SEC's Polise.
May 18, 2020
Group Sues SEC Over Collection of Investor DataThe gathering of such personal information "is an unnecessary and substantial risk to the privacy of American investors."
May 18, 2020
Advisor Comp May See Big Change Due to COVID-19: Aite GroupThe shift will move from a focus on asset base to one that also includes services provided.