Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Board OKs Longer Arb Response Time
By Melanie WaddellThe board also approved Regulatory Notices seeking comment on expanded trade reporting and margin requirements.
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.
October 04, 2018
RBC Adds Advisors in Seattle, Syracuse, DenverAn advisor and a team join from Wells Fargo.
October 04, 2018
4 Ways Diversity-Focused Firms Do BetterDiversity-minded firms have happier, better compensated advisors, a Fidelity study found.
October 04, 2018
SEC Advice Standards Package Likely by First Half of 2019: GrimGrim, a former SEC IM director, says Reg BI will have a major impact on sales incentives and IRA rollovers.
October 04, 2018
Cetera Launches Advisor Alignment ProgramThe firm has established advisor action committees and created two types of growth-oriented loans.