Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Get Ready! FINRA's New Home Office Rules Are Nearly Here
By Melanie WaddellThe new rules "will be key in defining ... how firms conduct branch office inspections," says ACA Group's Patrycja Savignano.
April 03, 2024
7 Tips for Advisors Planning to Break AwayThe growing independent RIA space includes both entrepreneurial younger advisors and those within sight of retirement.
April 03, 2024
Cambridge Rolls Out 'Personal CFO' Service for Wealthy ClientsThe new service includes cash-flow management, tax planning, wealth protection and more for HNW and UHNW investors.
April 01, 2024
Raymond James Adds $1B RBC Wealth GroupThe three veteran advisors work in the greater Phoenix area.
March 29, 2024
FINRA Hits BD With $250K Fine Over Emails, IMsH2C Securities failed to preserve and review over 1.25 million business-related electronic communications on four platforms.
March 27, 2024
New SEC Risk Alert Warns of T+1 TransitionExaminers will review whether and how RIAs have evaluated the impact of the settlement cycle change on their businesses.
March 26, 2024
Stifel to Pay $2.3M Over Sales of Complex ETFsThe reps' 'misuse' of the nontraditional funds caused clients to lose $1.3 million, FINRA says.
March 26, 2024
Here's How Much 9 Investment Firm CEOs Were Paid in 2023We looked at CEO compensation at Wells Fargo, Morgan Stanley, JPMorgan and others.