Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
NASAA Opposes SEC Plan to Expand Accredited Investor Definition
By Bernice NapachState securities regulators say the new definition would fail to protect investors.
March 19, 2020
FINRA Bars Ex-Kestra Rep Who Refused to Testify in His Fraud CaseThe ex-broker was suspected of making fraudulent and unauthorized transactions in customers' accounts, the regulator says.
March 16, 2020
SEC Extends Some Form ADV Deadlines; FINRA Cancels EventsExtensions "provide additional time so affected funds and advisers can continue meeting the expectations of their investors and clients," SEC Chairman Clayton said.
March 16, 2020
Envestnet Cancels Advisor SummitEnvestnet said it will refund registration fees for the conference, which was to be held in Austin, Texas.
March 13, 2020
Richards, Crosby, Others Discuss How to Calm Clients in the Time of CoronavirusMichael Kitces convened a webinar with several behavioral experts.
March 13, 2020
Edward Jones Suspends Travel; Raymond James Limits Client VisitsThe firms announce travel restrictions and update advisors on whether or not clients can visit branch offices.
March 13, 2020
FINRA Tweaks Suitability Rule to Address Reg BI ConflictsFINRA is also adjusting its noncash compensation rules.
March 12, 2020
Pandemic Ready: What Your Clients Need From YouWhat's going on out there is why you're here.