Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Takes Action Against Digital Token Offering
By Elizabeth FestaMichigan-based TokenLot LLC and its owners allegedly acted as unregistered broker-dealers in selling digital tokens, the SEC said.
September 10, 2018
Death of DOL Fiduciary Rule Is a Boon to Investment Cos.: StudyUnder the Obama-era rule, 36 investment companies lost $14 billion in market capitalization, a new paper asserts.
September 10, 2018
3 Top Succession Strategies for Advisors: Which One's Right for You?The first step in developing a succession plan is choosing a strategy that fits your practice and time horizon.
September 07, 2018
Where Will Advisors Be in 10 Years?Much has been reported about advisors' changing role, but "what's new here is that advisors are now believing it," says Howard Schneider.
September 07, 2018
$300M Advisor Accuses UBS of Gender DiscriminationLawyers point to a shift to subtle from brazen discrimination; women accuse firms of freezing them out of lucrative accounts.
September 07, 2018
Galvin Busts NPH Affiliate for Improper REIT SalesSII Investments allowed agents to miscalculate customers' liquid net worth to sell them products, the Massachusetts regulator said.
September 06, 2018
CE Council Requests Comments on Program ChangesFINRA supports exploring whether individuals who step away from the industry can maintain their qualifications through continuing education.
September 06, 2018
Schwab's Tech Pivot Is All the Buzz, but …Does the move away from a multi-custodial, cloud-based portfolio tool mean the firm is "throwing in the towel?"