Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
2018 IA Presidents Poll By The Numbers
By Janet Levaux | Liana Roberts | Chris NichollsHere's a look of the Presidents Poll results by the numbers
May 29, 2018
Regulatory Roulette Being Played With Fiduciary StandardRIAs and BDs are laboring under a fiduciary standard battle that offers no "regulatory clarity," argues Fi360's Blaine Aikin.
May 29, 2018
Big News From Cetera, Financial Engines-Edelman and Raymond JamesTwo BDs and a major RIA made headlines announcing new hires and promotions — along with a significant merger.
May 29, 2018
Industry Standouts: The 2018 IA Broker-Dealer Reference GuideIn an increasingly competitive market, a limited number of firms - big, medium and small - remain atop the list for their best practices, ability to recruit and/or acquire more advisors, and support RIAs
May 25, 2018
American Portfolios Named a Top Place to Work in New YorkThe independent broker-dealer also is a three-time winner of the Investment Advisor Broker-Dealer of the Year awards.
May 24, 2018
Why Did SEC Leave 'Fiduciary' Out of Best-Interest Rule?SEC chief Clayton said using the same word to describe both broker and advisor relationships would create confusion, but Barbara Roper begs to differ.
May 24, 2018
SEC Floats Plan to Allow BDs to Release Research Reports on Funds, ETFsChanges would provide investors "with greater access to research to aid them in making investment decisions," said SEC chief Clayton.