Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Brokerage Industry Blasts NJ Fiduciary Rule at Hearing
By Bernice NapachThey said SEC Reg BI precludes the need for a state fiduciary rule; consumer advocates disagreed.
July 17, 2019
FINRA Settles With 56 BDs, Gets $89M in Restitution Under Mutual Fund Fee InitiativeThe multi-year effort's goal was obtaining "restitution for mutual fund investors who were not afforded the sales charge waivers they were entitled to," FINRA said.
July 16, 2019
Schorsch, Block and AR Capital to Pay $60M to SEC for FraudThe once high-flying real estate firm was charged with falsifying books and records from late 2012 to early 2014.
July 16, 2019
4 Steps to Finding a New Advisory FirmHow can an advisor find the perfect advisory home without actually working there first? Here are some ideas.
July 15, 2019
Schwab Aims to Buy USAA Brokerage Business: ReportCharles Schwab is said to be offering about $2 billion for the unit.
July 15, 2019
Skience Launches New Version of Its Wealth Management Platform: Portfolio ProductsAlso, the Model FA online community has launched a resource library and podcast.
July 12, 2019
Cetera Teams With Allianz, Capital Group on New Retirement ToolSetIncome's strategies include guaranteed fixed annuities and asset management to generate lifetime income.
July 12, 2019
JPMorgan, Voya Debut Robo-Advice PlatformsThough they each target mass affluent investor, they take different routes to get there: B-to-C vs. B-to-B.