Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
5 Misconceptions About Working Within a Broker-Dealer
By Carolyn ClancyFor one thing, the name "broker-dealer" doesn't accurately describe what these firms do.
August 28, 2018
Do Titles Matter? Advisors Weigh InIndustry officials and advisors discuss the SEC's plans to restrict brokers' use of "adviser" and "advisor."
August 27, 2018
12 Best & Worst Broker-Dealers: Q2 Earnings, 2018Several firms had a notable turnaround in their performance this quarter.
August 27, 2018
FINRA, Exchanges Set New CAT Schedule After Missing DeadlineFINRA and national securities exchanges have failed to begin reporting consolidated audit trail data as scheduled, SEC Trading and Markets chief Redfearn said.
August 27, 2018
SEC Orders Transamerica Affiliates to Repay $97M Over Rookie's Faulty Quant ModelsThe four affiliates launched the products and strategies "without first confirming that the models worked as intended," SEC said.
August 24, 2018
More Fintech and Active/Passive Analysis in Next Year's CFA ExamThe updated CFA curriculum reflect the latest changes in investment management.
August 24, 2018
The Potential Fallout From JPMorgan's Free Stock Trades PlanMoody's Investors Service analysts foresee a negative impact on Schwab, TD Ameritrade and E-Trade.
August 24, 2018
$100M Pension Scam Run by Ex-Con Hit With LawsuitsAn "eager and complicit network" of brokers and advisors made the scam possible, said attorney Joseph Peiffer.