Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SIPC, FINRA to Offer Simpler BD Filing Process
By Melanie WaddellStarting Sept. 1, firms that currently file annual reports separately with SIPC and FINRA will file just once.
July 31, 2017
Behind the NumbersFinancial advisors should read the myriad of industry studies and surveys that come out each year with a grain or two of salt.
July 31, 2017
Two Ways LPL Plans to Innovate: New Mobile App, Virtual AssistantsAt its Focus conference, CEO Dan Arnold shares details about a mobile app for clients and the IBD's experiments with Uberization.
July 31, 2017
SEC Nabs 4 Former Brokers in Annuity Scam Targeting Federal WorkersBrokers conned federal employees to roll over federal Thrift Savings Plan accounts into higher-fee, variable annuity products.
July 28, 2017
New Tool Helps Families Assess Effects of Budget Cuts on Student AidA new tool from the National Association of Student Financial Aid Administrators shows the impact of Trump budget cuts on financial aid at individual schools.
July 28, 2017
More Than 4,000 Expected at LPL Focus in BostonThe conference will feature a women's forum, a volunteer event, a discussion on the future of advice and more.
July 28, 2017
10 Best & Worst Broker-Dealers: Q2 Earnings, 2017Most large financial firms with broker-dealer operations have reported their results for the quarter.
July 27, 2017
Compliance Costs May Be Strangling BDs, Regulators Say"Differentiation in our rules, or differentiation in the way we oversee firms" may accomodate small firms without compromising investor protection, FINRA chief Cook said.