Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Makes Moves to Woo RIAs
By Emily ZulzHead of business development Rich Steinmeier believes the firm will be "much more successful in the not-too-distant future" in recruiting RIAs.
April 17, 2019
SEC, FINRA Plan Compliance Outreach Seminar for BDsThe program is to be held June 27 in Chicago and will focus on protecting retail investors, digital assets, cybersecurity and anti-money laundering.
April 17, 2019
New Jersey, Nevada Likely to Pass Fiduciary Rules: AttorneyUnlike the rule that was defeated in Maryland, the New Jersey proposal "doesn't need votes, per se," a lawyer says.
April 17, 2019
FINRA E-Signatures Rule Gets SEC NodFINRA will permit the use of electronic signatures for discretionary accounts, effective May 6.
April 17, 2019
SEC Fires Off Warning on Privacy RegulationOCIE sets out violations of Reg S-P that have shown up in recent exams.
April 16, 2019
Will Trump Memo Slow Down SEC's Reg BI?A memo from the OMB states that major rules, like the SEC's best-interest rules, must be reviewed by Congress.
April 15, 2019
New Jersey Unveils Proposed Fiduciary RuleThe proposal covers BDs, agents and advisors but excludes some advisors already acting as fiduciaries.
April 15, 2019
FINRA Clarifies How BDs Should Handle Departing Rep InformationBut the notice is vague on whether BDs must tell clients a rep was fired, a lawyers' group says.