Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Nevada Fiduciary Rule Would Scare Off Morgan Stanley, TD Ameritrade
By Melanie WaddellThe two firms say they would have to stop serving brokerage customers in the state if the rule is adopted as written.
March 14, 2019
Raymond James, Stifel Nab $395M Wirehouse Reps: Recruiting RoundupMeanwhile, Securities America and LPL Financial share details on advisors they have added from Questar Capital and U.S. Bancorp.
March 13, 2019
Trade Groups Urge Maryland Lawmakers to Wait for SEC Reg BIFSI has "serious concerns" about the state fiduciary proposal, President and CEO Dale Brown said.
March 12, 2019
FPA Launches College Funding Advice CourseAdvisors can earn 11 CFP continuing education credits if they complete the course.
March 12, 2019
Cetera Grabs $640M Group From LPLMegent is based in Chicago and works with union members, as well as individuals and businesses, as clients.
March 11, 2019
These 'Future Shocks' Could Shake Up Wealth ManagementToffler Associates CEO Maria Bothwell tells ThinkAdvisor about four major drivers of change advisors need to watch.
March 08, 2019
Clayton: SEC Plans to Update Equity Market Rules This YearThe plans address issues raised in a series of roundtables with market participants and investors last year.
March 07, 2019
Let Reg BI 'Play Out': SEC's PeirceMeanwhile, NASAA tells Nevada its fiduciary plan doesn't violate federal securities laws.