Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Clayton: SEC Plans to Update Equity Market Rules This Year
By Bernice NapachThe plans address issues raised in a series of roundtables with market participants and investors last year.
March 07, 2019
Raymond James Nabs Schwab Exec for RIA PostMeanwhile, the IBD also picked up a former LPL Financial client: Desert Financial Wealth Management.
March 06, 2019
FINRA Releases FAQ on 529 Plan Share Class Initiative, Extends Compliance DeadlinesThe regulator wants to allow firms sufficient time to consider the new guidance on its self-reporting program.
March 06, 2019
Life, Retirement Industry Officials Wary of 'Patchwork' Annuity Sales StandardsThe head of a major life insurer group says, 'Fiduciary is not over.'
March 05, 2019
Cetera Adds AdvicePay Technology to Its Advisor PlatformThe new offering will enable clients to pay for advice without first opening an investment account.
March 05, 2019
Woodbury Adds 64% of Questar Reps, 86% of AUMBut could the growth of the IBD and its sister firms prompt the private equity owner to consider a sale?
March 05, 2019
FINRA Fines Cantor Fitzgerald $2M Over Reg SHO Violations"Firms' compliance with Regulation SHO is a continued focus for FINRA," said enforcement chief Susan Schroeder.
March 04, 2019
Ameriprise Grabs $633M LPL Team in LouisianaMeanwhile, an OSJ affiliated with LPL Financial adds a team from 1st Global in Houston.