Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Wells Fargo Launch; Kestra Finds Buyer; Moore Leaves Cetera: BD Roundup
By Janet LevauxThe wirehouse says its new program is a "category killer." Meanwhile, one independent broker-dealer wins the backing of a private equity group, and another loses its CEO.
March 26, 2019
Don't Let Your Cybersecurity Policy SlipThe SEC has been clear on what it expects from advisors on data protection. Are you up to speed?
March 26, 2019
Is Your Firm's Legacy Technology a Ticking Bomb?Advisors can avoid the headaches of being forced to replace old systems on the fly by taking these pre-emptive actions.
March 26, 2019
Roundup: SEC 12b-1 Settlements, Wells in Hot Seat, and Treasury Regs HousecleaningThe SEC's share class initiative is showing results, while Rep. Waters says Wells Fargo is 'too big to manage' and Treasury axes tax regs.
March 26, 2019
Reg BI Readiness Questioned on All Fronts: SEC Commissioners, Trade Groups, LegislatorsAs new BD regulations get aired out, two points emerge: Reg BI is "fixable" and states need to see how it works before making own laws.
March 25, 2019
Steward Adds Merrill Team in New HampshireThe partnership, which is associated with Raymond James, announces its latest recruiting news just a week after it opened a branch in Dallas.
March 25, 2019
FINRA Developing 'Credit for Cooperation' Guidance; SEC Aims to 'Bring Cases Faster'At what point do broker-dealers who cooperate with FINRA deserve a reduced sanction? The regulator plans to clarify.
March 22, 2019
Sen. Warren Presses FINRA on Broker Expungement Rule RevampStudies show broker expungements "are often associated with broker misconduct" and recidivism, Warren says.