Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Nominates Large, Small Firm Members for Disciplinary Panel
By Melanie WaddellSEC also approved amendments to FINRA customer and industry arbitration rules.
August 18, 2017
Deficiencies Found at 97% of BD Audit FirmsDeficiencies were observed in audits at 73 of the 75 firms inspected during 2016, PCAOB's annual report says.
August 16, 2017
Is LPL’s Purchase of NPH Savvy or Reckless?Analysts and executives discuss the pros and cons of the IBD's $325 million purchase.
August 15, 2017
Will LPL’s New NPH Reps Stay or Go?Industry specialists debate how the move to a self-clearing firm could impact the 3,200 reps.
August 15, 2017
Cetera Appoints New Information OfficerCetera has appointed Michael Ragunas as chief information officer to help the organization develop and implement technology across all its lines of business.
August 15, 2017
LPL Buys 4 NPH Broker-DealersThe $325-million purchase price could rise, depending on how much of the National Planning Holdings advisors' revenue moves to their new parent firm.
August 15, 2017
Brokerage ‘Kickbacks’ From Exchanges Draw ScrutinyWilliam Galvin of Massachusetts has written to Fidelity, Schwab, Morgan Stanley and others asking how they route orders to exchanges.
August 15, 2017
C-Suite Survey Reveals Fear of Regulatory Scrutiny: CippermanFirm execs also worry about their cybersecurity policies.