Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Dodd and Frank Say SEC's Reg BI Violates Law
By Melanie WaddellThey were among a group of current and former Democratic lawmakers who filed a brief saying the best-interest rule "cannot stand."
January 06, 2020
Horizons Nasdaq-100 Index ETF Strategy Adjusted: Portfolio ProductsAlso, Advicent launches NaviPlan 19.3 financial planning software.
January 03, 2020
What Killing of Top Iranian General Means for Markets, Oil"There's a reason, finally, for caution in the stock market," Greg Valliere says.
January 03, 2020
Kitces Is Confident That Lawsuits Will Squash Reg BIThe suit filed by Kitces' XY Planning Network is on track to be decided before the rule's June 30 compliance date.
January 02, 2020
SEC Asset Management Committee to Meet Jan. 14Meanwhile, comments are coming due on FINRA's plan to limit brokers as beneficiaries and pending arb claims.
December 31, 2019
What Advisors Expect From Markets, Clients in 2020 and BeyondAn SEI survey finds that few prioritize improving the investor experience as a top goal for the year ahead.
December 30, 2019
Oppenheimer to Pay $4.7M Over Early UIT RolloversFINRA ordered the firm to pay a fine and restitution.
December 27, 2019
Next Financial Fined Over Nontraded REIT SalesMassachusetts regulators investigated after receiving a complaint from a retired veteran who has requested "conservative investments."