Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
House Panel to Debate Bill to Require Investor Testing by SEC
By Melanie WaddellThe bill would require usability testing on the SEC's new disclosure forms before Reg BI is finalized.
March 19, 2019
Former NBA Star Chuck Person Pleads Guilty in NCAA Bribery SchemePerson admitted taking bribes to steer college players to a certain financial advisor after they had turned professional.
March 19, 2019
HD Vest Parent to Acquire 1st GlobalThe deal unites tax-minded advisors and could create an IBD with 4,500 reps and $60 billion in assets.
March 18, 2019
Kitces: Is Technology Really Helping Advisors?A survey by Michael Kitces breaks down the advisor work week and uncovers some interesting results.
March 18, 2019
Nevada Fiduciary Rule Would Scare Off Morgan Stanley, TD AmeritradeThe two firms say they would have to stop serving brokerage customers in the state if the rule is adopted as written.
March 14, 2019
Best Full-Service Investment Firms Ranked by Investors: J.D. Power — 2019Many firms' satisfaction ratings have dropped from last year.
March 14, 2019
SEC Reg BI's Economic Analysis Too Weak, Will Face Legal Challenges: SEC's JacksonIf the analysis "is not up to snuff, you're basically giving the market a call option" to strike down the rule, Jackson said.
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.