Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
New 'Red Flag' Tools Launched to Curb Cyber Risks
By Janet LevauxEntreda's news follows a $1 million settlement reached by Voya Financial Advisors with the SEC over cybersecurity failures and compromised client personal data.
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.
October 18, 2018
Final SEC Advice Standards Package Coming September 2019The SEC also plans to issue a final ETF rule by then, according to its regulatory agenda.
October 17, 2018
SEC Investor Advocate, RAND Issue Retail-Advice ReportThe research is aimed at helping the SEC craft its advice-standards package.
October 17, 2018
SEC Reg BI Would Make It 'Substantially Easier' to Bring Enforcement Actions: PeirceThe agency's proposed Form CRS also "suffers from a paper-centric and regulator-centric status quo," SEC Commissioner Peirce said.
October 17, 2018
Top 6 Trends in Wealth Management: Chip RoameFor one thing, the boomers aren't going anywhere anytime soon.