Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL to Open Tech Hub in Texas
By Janet LevauxThe independent broker-dealer's campus in Austin is expected to have more than 100 employees.
May 11, 2020
Advisor Group's BD Consolidation a 'Sign of the Times'Industry watchers weigh in on the plan to merge three former Ladenburg Thalmann BDs into Securities America.
May 11, 2020
FINRA Announces Delay in Online Test-Taking RegistrationThe broker-dealer regulator said late Sunday that it needs more time to pilot the online test-taking program.
May 11, 2020
Advisor Group to Close 3 Former Ladenburg BDsThe BDs are set to become part of Securities America by year-end.
May 08, 2020
Court Expedites Reg BI Oral ArgumentsThe case brought by XY Planning Network and the state AGs shall be heard on June 2.
May 08, 2020
FINRA Sees Operating Revenue Flat in 2020FINRA is again projecting that its expenses will exceed operating revenue for the year.
May 08, 2020
FINRA Seeks to Pay All Disciplinary Hearing Panel MembersCurrently, the chief hearing officer has discretion to compensate those who serve on extended hearing panels only.
May 08, 2020
Registration Starts May 11 for FINRA, NASAA Online Test TakingFINRA has also filed a proposed rule with the SEC to allow for certain documents to be delivered via email.