Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA's Top Fine Categories in 2018
By Melanie WaddellIt appears FINRA is "coming down harder" when it decides to bring a case, a lawyer says.
March 01, 2019
Some Democrats Want to Tax Financial TradesThe tax could help reduce the deficit as well as high-frequency trades.
February 28, 2019
Top Democrat on Senate Panel Wants Hearing on SEC's Reg BIFormer SEC economists' letter stating Reg BI "had weak and incomplete economic analysis" should be "a red flag," said Sen. Sherrod Brown.
February 28, 2019
Dynasty Grabs Raymond James Exec in Its New NeighborhoodThe RIA partner group plans to add 40 to 50 people in St. Petersburg.
February 28, 2019
FINRA to Issue FAQ on 529 Share Class Initiative, May Extend Compliance Dates"People have had a lot of questions about how to engage in the initiative," said FINRA enforcement chief Schroeder.
February 28, 2019
Stifel Pulls In 5 Merrill Reps: Recruiting RoundupMeanwhile, Cetera brings in a wealth group that supports over $2.5 billion in assets and an institutions team with about $181 million.
February 27, 2019
In the Advisory Space, Bigger Is Better for Growing Market ShareA new Cerulli report shows that the biggest firms keep gobbling up a bigger share of assets.
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.