Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
BDs' IRA Rollover Changes Show 'Tangible Good' From DOL Rule: NASAA
By Melanie WaddellState securities regulators hope the SEC will preserve the "investor protection gains" from the vacated Labor rule.
April 24, 2018
FINRA Releases FINRA360 Progress ReportFINRA CEO Robert Cook talks to ThinkAdvisor about how the sweeping regulatory initiative is coming along.
April 23, 2018
Pershing Launches New Retirement Plan Oversight Tool: Portfolio ProductsVestwell Partners also introduced a new retirement platform and Harvest added a new hub for practice management.
April 19, 2018
SEC Broker Conduct Plan Is Not a Fiduciary StandardAdvocates for RIAs and consumers said the SEC didn't clearly define "best interest" in the 1,000-plus page proposal.
April 19, 2018
Raymond James Longevity Planning Resources: Good for Clients, Great for AdvisorsSuite of tools provides much-needed solutions for clients while helping advisors grow their business and justify their fees.
April 19, 2018
Atria to Buy IBD Cadaret GrantThe deal, which is supported by Lee Equity Partners, should add some 900 advisors and about $23 billion in assets under administration to its base of 500 reps with some $30 billion.
April 19, 2018
M&A Activity for RIAs Surges in Q1, Poised for Boffo YearBreakaway activity also accelerated after several high-profile exits from the broker protocol.
April 18, 2018
Kestra Nabs Veteran Merrill Team in Ohio: Recruiting RoundupMeanwhile, LPL-affiliated Trilogy Financial taps a board member with marketing expertise