Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA to Issue FAQ on 529 Share Class Initiative, May Extend Compliance Dates
By Melanie Waddell"People have had a lot of questions about how to engage in the initiative," said FINRA enforcement chief Schroeder.
February 27, 2019
Raymond James Nabs Morgan Stanley Complex ManagerVeteran complex manager Bill Drew will now lead the employee channel in the greater Boston area; meanwhile, the firm moves to acquire 100% of asset manager ClariVest.
February 27, 2019
FINRA Seeks Feedback on Business Continuity RuleFINRA wants to know whether the costs of maintaining such a plan outweigh the benefits.
February 26, 2019
Ensemble or Solo Practice? How it Impacts Technology SolutionsHow your firm is structured certainly impacts what technology solutions are selected and rolled out.
February 26, 2019
SEC Advice-Standards Package Likely by Q3; States March AheadWhile the 35-day partial government shutdown "really slowed progress" at the Securities and Exchange Commission
February 26, 2019
Hiring a CEO Means Owner-Advisors Must Let GoOwner advisors can resist a new chief executive officer. But to grow a firm, stepping aside is the best thing they can do.
February 26, 2019
Bill Sharpe Seeks a Better Retirement Income SolutionSharpe, 84, is still finding simple truths that can rock even a veteran's understanding of retirement planning.
February 26, 2019
Regulators Take Aim at Share Class DisclosureAttorneys and compliance experts see the SEC and FINRA crackdowns as a 'big deal' that foretells the demise of 12b-1 fees.