Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Nevada's 'Expansive' Fiduciary Plan Shocks BDs, RIAs
By Melanie WaddellWhat's the biggest difference between Nevada's plan and Reg BI? Nevada's plan includes a private right of action, says Drinker Biddle's Reish.
January 24, 2019
Carson Group Sees Big Jump in Assets, Partner FirmsThe firm roughly doubled in size to 96 partner firms with $7.5 billion of assets in 2018 from 49 firms with $3.1 billion in 2017.
January 24, 2019
LPL, Stifel and RBC Add Wirehouse Reps: Recruiting RoundupPlus, Commonwealth Financial, Ameriprise and D.A. Davidson share their latest hiring news for early 2019, while RIA Integrated Financial Partners gives an update on its 2018 growth.
January 23, 2019
More States Advance Their Own Fiduciary RulesSEC's best interest rule still pending and now delayed by government shutdown.
January 23, 2019
Raymond James Beats Estimates as Private Client Sales Jump 10%The firm has 7,815 advisors, which is up two from the prior quarter and 278 from a year earlier.
January 23, 2019
Why Cyber Insurance Is Like the 'Wild Wild West': FinTech Insider"There are also a lot of bad policies out there. Read the fine print of the exclusions list!" says Entreda CEO Sid Yenamandra.
January 23, 2019
Hearsay Adds Instagram to Platform for AdvisorsThe tech firm will review, track and store Instagram content for financial firms, as it does now for content posted on Facebook, Twitter and LinkedIn.
January 23, 2019
FINRA Delivered 'Unprecedented' Processing Volume in 2018FINRA says its "pioneering" cloud strategy allowed the regulator to handle the volume while maintaining vigorous oversight.