Broker Dealers
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Maryland's 'Sweeping' Fiduciary Bill Puts Advisors Under More Stringent Standard
By Melanie WaddellMaryland's 2019 bill is also "very broad as applied to insurance producers," states Stradley Ronon attorney William Mandia.
February 07, 2019
Fidelity Launches First Model Portfolios With ETFsThe two income-producing portfolios include active and passive mutual funds along with ETFs.
February 06, 2019
Raymond James, LPL Nab Wells Fargo Reps: Recruiting RoundupMeanwhile, Ameriprise Financial brings on an advisor from Morgan Stanley, and Securities Service Network adds Retirement Planning Group (RPG), which formerly worked with Ameritas Investment Corporation.
February 06, 2019
Cetera Shares 2018 Recruiting Results, Sort OfThe independent broker-dealer network is adding more business development and technology tools for advisors.
February 06, 2019
ProEquities Forms Partnership for Female AdvisorsBy working with the W Source, the firm's female reps can receive coaching and networking support.
February 04, 2019
Amplify ETFs Launches International Online Retail ETF: Portfolio ProductsAlso, RBC GAM announced fee reductions and a new share class for the Access Capital Community Investment Fund.
February 01, 2019
IFP Gets Thumbs-Up to Launch BDThe breakaway RIA hope to move over 500 advisors to the platform it is building with Pershing from LPL Financial.
February 01, 2019
Stock Exchanges Fire CAT Contractor After DelaysFINRA is said to be taking control of the Consolidated Audit Trail project.