Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Ad Rule Revamp Is a Game Changer
By Melanie WaddellWhile still combing through the 507-page plan, industry players can't contain their excitement over much-needed reform.
November 25, 2019
Women's Stories Spotlight the Need to 'Do Better'A recent blog series illustrates in graphic detail what women in the industry have been putting up with for some time.
November 25, 2019
When Giving Back Means Lifting UpHow can you make a difference in your community?
November 25, 2019
Top 2020 Compliance List? Reg BI, Secure Act, New Ad RuleAs the year-end approaches, industry participants discuss chances for the Secure Act's passage and how likely it is that Reg BI's compliance date will stick.
November 22, 2019
Atria Wealth Solutions Set to Acquire WISIBDs have been almost as active in M&A as RIAs. Atria keeps growing its own network and advisor army.
November 22, 2019
Ohio National, Foes Seek Halt to Trailing-Commissions CaseWith different lawsuits nationwide, the life insurer and broker-dealers suing it asked Texas court to "stay" litigation there until Ohio case moves forward.
November 21, 2019
Schwab-TD Ameritrade Deal Is No Sure ThingA merger of the two larger brokerage firms faces antitrust and other hurdles, according to some key industry watchers.
November 21, 2019
Stifel Nabs Merrill, Morgan Stanley Reps With $680M: Recruiting RoundupAlso, Wells Fargo Advisors' independent channel says advisors have joined from UBS and PNC.