Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Baird, RBC & Kestra Add Teams From Wells Fargo: Recruiting Roundup
By Janet LevauxThe advisors make their moves in Arizona, Michigan, Florida and Washington.
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
May 17, 2018
Advisors Saw Robust Asset Growth in 2017, but Struggled to Add ClientsLowering fees is an ineffective strategy for driving growth, PriceMetrix data finds.
May 16, 2018
Advisor Group Execs Complete RoadshowLeaders of the firm visited 20 cities to meet with registered reps for the second year in a row.