Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA's Amended CAB Rule to Be Implemented Nov. 19
By Melanie WaddellThe rule change reflects FinCEN's adoption of a final rule on customer due diligence.
October 22, 2018
Millionaire Investors Nervous About the Future: StudyFidelity's survey of millionaire investors shows a disconnect between current and future views of the market.
October 19, 2018
New 'Red Flag' Tools Launched to Curb Cyber RisksEntreda's news follows a $1 million settlement reached by Voya Financial Advisors with the SEC over cybersecurity failures and compromised client personal data.
October 19, 2018
Independent Advisory Firms Have Choices to Make: Fidelity's SlaterThe industry is becoming more concentrated, which makes it harder for small and midsize firms to operate as stand-alone entities.
October 18, 2018
SEC Launches FinHub PortalThe new fintech hub provides one-stop information on digital marketplaces, automated investment, blockchain and AI.
October 18, 2018
Private Client Group at Janney Adds 14 Advisors in Q3In addition, the firm opened a new office in Delaware.
October 18, 2018
New DOL Fiduciary Rule Coming Next Fall"The department is considering regulatory options in light of the 5th Circuit opinion," Labor's regulatory agenda states.
October 18, 2018
Raymond James Nabs $1.5B Reps From Wells Fargo, Morgan Stanley and LPL: Recruiting RoundupMeanwhile, LPL Financial adds advisors from the Cetera broker-dealers; SagePoint and Securities America share details on their latest hires.