Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Cetera Financial Has New Board
By Janet LevauxThe firm has restructured its board following Genstar's purchase of a stake.
October 08, 2018
The Wealth Consulting Group's 'Huge Advantage': DiversityThe hybrid RIA has a top-down approach to diversity and inclusion, according to founder and CEO Jimmy Lee.
October 08, 2018
FINRA Board OKs Longer Arb Response TimeThe board also approved Regulatory Notices seeking comment on expanded trade reporting and margin requirements.
October 08, 2018
Many Advisors Avoid ESG Strategies Despite Investor InterestAsset managers, however, continue to increase ESG and sustainable investment offerings.
October 05, 2018
'Heightened Supervision' Plans Are a Must for BDs: NASAAIn coordinated exams, state securities regulators found that 90% of examined firms with a registered reps on a heightened supervision plan reported no complaints against that rep.
October 05, 2018
Regulators Look Beyond Mega-Fines on Firms"Massive fines on firms have lost their power to shock," a Duff & Phelps managing director said.
October 05, 2018
7 Myths About Millennials and Investing, BustedA new study from FINRA and the CFA Institute dispels common myths about millennials, their life goals and their views of advisors.
October 05, 2018
FINRA Plan Would Unleash 'Rogue Brokers,' Lawyers SayProposal to free BDs from liability for advisors' outside activities is one of FINRA's worst ever, lawyer Stoltmann says.