Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisors 'Neutral' on Broker Protocol's Impact on Going Indie: Schwab
By Emily ZulzIn a new report, Schwab surveyed 152 advisors that have considered becoming independent registered investment advisors.
December 10, 2018
4 'Tipping Points' for Wealthy Clients (& What Advisors Can Do to Help)A good advisor can devise successful strategies to contend with even the most complex financial situations.
December 10, 2018
Natixis, Citadel Securities, MUFG to Pay SEC More Than $6M for Blue Sheet Data ErrorsSEC uses the blue sheet data to carry out its enforcement and regulatory obligations, including investigating fraud.
December 10, 2018
LPL-Affiliated Group Adds 50-Plus Reps From Departing OSJIndependent Advisor Alliance says some $2.3 billion in assets could move to its operations this year from IFP.
December 10, 2018
Wentworth Management to Acquire World Equity GroupWentworth will make additional roll-up announcements in 2019.
December 10, 2018
SEC Chair Clayton Lays Out 2019 Regulatory PrioritiesA "key priority" for the securities regulator is finalizing advice standards package, Clayton says.
December 06, 2018
Folio Rolls Out Robo Platform for Advisors, InvestorsThe technology allows for goals-based financial planning and specialized portfolio building.
December 06, 2018
SIFMA Sees Slowing Growth, SEC Best-Interest Rules Coming in 2019The best-interest regs will probably be clarified in the first half of next year, SIFMA says.