Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Suitability Rule Likely a 'Non-Factor' Due to Reg BI: Attorney
By Melanie WaddellFINRA can likely bring suitability cases under Reg BI instead, writes Bates Group's Hank Sanchez in a just-released paper.
September 03, 2019
Broadridge's Latest Acquisition Is Financial Database ServicesThe purchase will strengthen Broadridge's advisor compensation capabilities.
August 29, 2019
LPL Adds $700M Team From MML: Recruiting RoundupMeanwhile, Raymond James' employee channel nabs a Wells Fargo complex manager to lead its Denver operations.
August 27, 2019
Reg BI, Form CRS Status Check: Is Your Compliance Where It Should Be?Industry attorneys along with FINRA are weighing in with advice and steps on getting up to speed with the SEC advice-standards package.
August 27, 2019
2019 BDs of the Year on Amazon's Impact"You can't ignore [[today's] technology advancements ... . You've got to embrace them, ... innovate and stay current," says David Stringer.
August 27, 2019
How Top BDs Use Tech to Drive Advisor Success"We have to believe ... we can win on service and customer experience [too]," says American Portfolios' Lon Dolber.
August 27, 2019
Indie Wirehouse Firms Post Q2 2019 ResultsPerformance in the most recent quarter included generally positive momentum, though some firms continue to struggle in recruiting, retention and profits.
August 27, 2019
IBD Sees Surge in Advisors Ditching FINRAPlus, industry research finds 71% of RIAs hiring staff and 42% recruiting from rivals.