Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Advisors Have a Major Blind Spot on Retirement Income Planning
By Zach ParkerClients' needs in the distribution phase are just as varied as in the accumulation phase. Here are three ways to adapt.
August 14, 2018
Credit Suisse Is Splitting Its Main Wealth Unit Into 7 RegionsThe bank is said to be giving more autonomy to regions; announcement on split could come this week.
August 14, 2018
SEC Reg BI Must Include Rollovers: MorningstarThe final Reg BI "should specifically identify broker/dealers' responsibilities when recommending a rollover," said Morningstar policy director Szapiro.
August 09, 2018
SEC Reg BI vs. Suitability: Here's the Difference, According to FINRA's CookSEC's advice proposals extend in "certain significant areas" the requirements for broker-dealers, Cook told senators.
August 09, 2018
Number of BDs, Reps Drops for Second Straight Year, New FINRA Report SaysSmall BDs "struggle with keeping up with burdensome FINRA requirements," recruiter Jon Henschen said.
August 09, 2018
Woodbury Adds 2 Teams With $378M in Assets: Recruiting RoundupRaymond James brings on a father-son team from Stifel with roughly $141 million.
August 08, 2018
Indie BDs Warn SEC of Major Flaw in Conduct RulesThe regulator is repeating mistakes the Labor Department made with its fiduciary rule, a BD group says.
August 07, 2018
What 8 Industry Leaders Think of SEC's Advice StandardsHere's what Michael Kitces, Barbara Roper, Ken Fisher and others commented to the SEC about the proposal.