Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Dan Arnold: Rising to the Top at LPL Financial – The 2017 IA 25
By Janet LevauxStepping into the shoes of IBD leader Mark Casady requires fortitude, focus and humility.
May 02, 2017
Senate Confirms Jay Clayton as SEC ChairmanGroups press Clayton to prioritize uniform fiduciary rule for brokers and advisors.
May 01, 2017
The 2017 IA 25 Readers’ ChoiceThis year, we asked readers to weigh in on the most influential people in the advisory industry.
April 28, 2017
‘No Fee Compression on Our Advisors’: Raymond James CEOPaul Reilly discusses retention, recruiting efforts and compliance issues during the yearly indie advisor event.
April 28, 2017
SEC Fines BlackRock RIA $1.5 MillionThe fine settles a compalint that the BlackRock RIA had operated a Russia ETF without obtaining the correct exemptive relief from the Investment Company Act.
April 27, 2017
New Fannie Mae Policies Help Student Borrowers Get MortgagesThe policy changes reduce the cost of cash-out refis for student loan borrowers.
April 26, 2017
HighTower Adds $500M Group From UBS, Merrill: Recruiting RoundupRBC gets all-female UBS team, LPL attracts hybrid group, Cetera shares board news, and Wells Fargo promotes execs.
April 26, 2017
5 Compliance Approaches That Chase Away Advisor TalentCompliance departments often treat well-established advisors with good compliance records like teenagers.