Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA Fines Edward Jones for Supervisory Failures
By Janet LevauxThe broker-dealer issued some 52 million client reports without required supervision, the regulator says.
July 12, 2017
Fidelity Is Said to Dismiss Hundreds of Workers, Axios ReportsFidelity declined to comment on the report by Axios, which was founded by former Politico veterans Jim VandeHei, CEO, and reporter Mike Allen.
July 12, 2017
SEC Chief Wants Public Input on a New Fiduciary Rule Before StartingIn his first major speech as chairman, Jay Clayton also suggested easing disclosure requirements for publicly traded companies.
July 11, 2017
Rep. Wagner Drafts Bill to Kill DOL Fiduciary RuleRep. Ann Wagners bill seeks to replace the rule with a best interest standard on BDs investment recommendations.
July 11, 2017
Raymond James Trims Comp Grid for Employee RepsThe cuts will range from 1% to 4% depending on production of reps.
July 10, 2017
How to Move Upmarket With Clients and AssetsA new Cerulli report suggests ways for advisors to identify mass affluent clients who have the potential to accumulate millions more in assets.
July 06, 2017
Raymond James Adds $1B RIA Partner in Texas: Recruiting RoundupMeanwhile, First Republic Bank brings on two wealth teams from UBS and Merrill Lynch in the Golden State.
July 03, 2017
Coming Together at Pershing INSITE'17Aaron Rodgers shares his leadership lessons, which are highlighted in this issue of Investment Advisor magazine.