Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Treasury's Customer Due Diligence Rule Is Now Effective
By Melanie WaddellThe new FinCEN requirements are intended to help prevent money laundering.
May 11, 2018
Galvin Fighting for Fiduciary Duty That 'Only He Believes Exists': Scottrade AttorneysGalvin's case is "part of his campaign to enforce his own, personal interpretation of this now-abolished federal rule," they said.
May 10, 2018
CFP Board Grapples With Lack of Diversity in the ProfessionOnly 3.5% of CFP professionals are black or Latino, the Board reports.
May 10, 2018
DOL Fiduciary Rule Still Effective Until Court Issues Mandate: LawyerThe 5th Circuit has yet to issue an order to vacate the rule, as it was expected to do on Monday.
May 10, 2018
Amended FINRA Customer Confirmations Rule Kicks In MondayAmended rule requires BDs to disclose more transaction-related information to retail customers for trades in fixed income securities; MSRB gets SEC OK to establish a new advertising rule
May 09, 2018
Cetera Grabs LPL Recruiting Exec, Cooling Rumors of Sale to RivalPlus, Cetera CEO Robert Moore says there is more hiring to come in business development for the IBD network.
May 08, 2018
CFTC Warns Investors Against Binary Options FraudIn its effort to expand investor education, the Commodity Futures Trading Commission has released a pair of videos to warn investors against buying…
May 08, 2018
Steward Partners Adds Wirehouse Reps, Opens Office in Morristown, N.J.Advisors from Wells Fargo and Morgan Stanley join the Raymond James affiliate with an expected $360 million.