Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Why Did SEC Leave 'Fiduciary' Out of Best-Interest Rule?
By Melanie WaddellSEC chief Clayton said using the same word to describe both broker and advisor relationships would create confusion, but Barbara Roper begs to differ.
May 23, 2018
12 Best & Worst Broker-Dealers: Q1 Earnings, 2018The equity markets had a weak first quarter, but broker-dealers and banks generally reported strong financial returns.
May 23, 2018
Here's How FINRA Defines a 'High-Risk' BrokerThe regulator looks at a number of factors to make an assessment, says head of member regulation Mike Rufino.
May 22, 2018
Will SEC's Broker Conduct Rule Work? BDs, Attorneys Weigh InBrett Redfearn, director of the SEC's Trading and Markets division, urged BDs to comment on the agency's standard of conduct proposals.
May 22, 2018
CFP Certification Exam Will Test Knowledge of New Tax LawQuestions about the new tax law won't be included in the CFP test until the November exam.
May 21, 2018
FINRA Would Monitor SEC Broker Conduct Rule Compliance: CookAt FINRA conference, CEO Cook discussed the SEC rule and future exam changes.
May 21, 2018
Virtus InfraCap U.S. Preferred Stock ETF Launches on NYSE: Portfolio ProductsIn addition, J.P. Morgan expands access to alternative strategies with a partnership with iCapital Network.
May 17, 2018
FINRA Floats Third-Party Insurance Coverage ProposalFINRA Board also filed with SEC proposed amendments to its TRACE rules to expand the definition of Agency Debt Security to address a new issuance structure by government-sponsored enterprises