Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Issues Guidance, Seeks Comment on High-Risk Brokers
By Melanie WaddellThe regulator highlights instances when heightened supervision of brokers may be needed.
April 30, 2018
2018 IA 25 Custody & Clearing WinnersHere are the 2018 IA 25 Custody & Clearing top vote getters.
April 30, 2018
2018 IA 25 Independent Broker-Dealer WinnersHere are the top vote getters for the Independent Broker-Dealer field.
April 29, 2018
Inside Edward Jones' Take on TechnologyThe broker-dealer relies on advisor feedback to improve its technology, according to Principal Vinny Ferrari.
April 27, 2018
Clayton: SEC Broker Conduct Rule Embodies 'Core Fiduciary Principles''We've sought to harmonize the actual duties that are owed' by brokers and investment advisors, Clayton tells lawmakers.
April 26, 2018
Morningstar Prepares to Launch Its Own FundsIn an amended filing with the SEC the mutual fund rating agency and portfolio strategist discloses the nine funds that will become the Morningstar Funds Trust.
April 26, 2018
LPL Cuts Pricing Across Corporate, Hybrid RIA PlatformsThe firm plans to launch a no-transaction-fee mutual fund network.
April 26, 2018
RBC Wealth Adds 4 Wells Fargo Advisors: Recruiting RoundupMeanwhile, an LPL affiliate, D.A. Davidson and First Republic pick up reps from Merrill; Kestra Financial, Ameriprise, Triad Advisors and others announce new recruits and hires.