Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Indie BD Reps Most Likely to Outsource Model Portfolios: Cerulli
By Emily ZulzAdvisors making their own investment decisions increases potential liability for broker-dealers under the DOL fiduciary rule.
October 05, 2017
6 Personality Traits of the Wealthy and SuccessfulAuthor and financial editor Jean Chatzky discusses what she found from researching 5,000 wealthy and successful people.
October 04, 2017
The 3 Best Ways Indie Firms Can Add Female AdvisorsThe industry knows it needs to diversify, and steps being highlighted at the Ladenburg Institute of Women & Finance Symposium can help.
October 03, 2017
‘Meaningful Changes’ to CFP Standards Proposal May Come Soon: AikinThe head of the board of directors of the CFP Board said those changes could be decided at its November meeting.
October 03, 2017
Fidelity Institutional Names Durbin PresidentMichael Durbin is now in charge of clearing, custody, trading and other programs for RIAs, BDs and related institutions.
October 03, 2017
FPA, CFP Board Formalize Their CollaborationThe stronger collaboration is designed to benefit the organizations, the financial planning profession and the public.
October 02, 2017
FINRA Zeros In on Bad Brokers, Arb Transparency and New EnforcementIt's been a little over a year since Robert Cook took the helm as CEO of the Financial Industry Regulatory Authority and launched a top-to-bottom review of the self-regulator via the FINRA360 initiative.
October 02, 2017
Is the Time Ripe for the SEC to Regulate Broker/Advisor Titles?As the Securities and Exchange Commission mulls a fiduciary standard rule of its own, should the agency also tackle regulating advisor and broker titles?