Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Elects Three Governors to its Board
By Melanie WaddellFSI is "pleased to see [Kovack will] spend another three years supporting the interests of our industry" and investors, said Dale Brown.
August 28, 2018
Editor's Note: Broker-Dealer InsightsWe are pleased to share these insights from the four winners of the Broker-Dealer of the Year Awards.
August 28, 2018
Tech Integration Takes Main StageAiming to relieve the key "pain points" for advisors, TD Ameritrade's Veo Open Access has become a needed balm.
August 28, 2018
Do Titles Matter? Advisors Weigh InIndustry officials and advisors discuss the SEC's plans to restrict brokers' use of "adviser" and "advisor."
August 28, 2018
2018 Broker-Dealers of the Year: The Private ClubThe Broker-Dealer of the Year winners discuss industry consolidation, competitive pressures, innovation and more.
August 27, 2018
12 Best & Worst Broker-Dealers: Q2 Earnings, 2018Several firms had a notable turnaround in their performance this quarter.
August 27, 2018
FINRA, Exchanges Set New CAT Schedule After Missing DeadlineFINRA and national securities exchanges have failed to begin reporting consolidated audit trail data as scheduled, SEC Trading and Markets chief Redfearn said.
August 27, 2018
SEC Orders Transamerica Affiliates to Repay $97M Over Rookie's Faulty Quant ModelsThe four affiliates launched the products and strategies "without first confirming that the models worked as intended," SEC said.