Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA to Mirror SEC Reg BI, Form CRS Exam Approach
By Melanie WaddellSelf-regulatory group says it will take action if it observes client harm or conduct violating current suitability rules.
April 07, 2020
FINRA Presses Ahead With Bad-Broker CrackdownThe plan would allow a hearing officer to require a BD to adopt heightened supervision for brokers with long disciplinary histories.
April 07, 2020
SEC Releases Exam Schedules for Reg BI, Form CRSHere's what SEC examiners will look for in the year after the June 30 compliance date.
April 06, 2020
SEC Updates Custody FAQ to Address Coronavirus ConcernsThe FAQ addresses delays in access to firm mail and not being able to maintain physical certificates with a qualified custodian.
April 06, 2020
Melissa Joy on 'Triaging' Clients' Financial Issues From HomeIn this "go time" for financial advisors, support from family, friends and colleagues makes all the difference, the CFP says.
April 02, 2020
Advicent's Financial Planning Client Portal Is Now FreeCEO Angela Pecoraro says the firm wants to help advisors serve clients and manage their businesses during the pandemic.
April 02, 2020
FINRA Bars Ex-LPL Rep Over 'Reckless Misrepresentations'The former broker signed seven loan agreements for a client without the firm's authorization, FINRA says.
April 02, 2020
SEC Won't Extend Reg BI, Form CRS Compliance DateFirms facing disruptions due to COVID-19 "should engage with us," SEC chief Jay Clayton said.