Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
ProShares Adds Equity ETF Designed for Rising Rates: Portfolio Products
By Emily ZulzIn other product news, Aria RetireOne announced it will start providing a fee-based variable annuity.
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.
July 27, 2017
Raymond James' Wealth Group Boosts Profits 56%The number of advisors jumps 451 from a year ago to nearly 7,300.
July 27, 2017
Fidelity Clearing to Partner With Goldman, US Bank; Expand Loans to Wealth ClientsRIAs, broker-dealers and family offices will be able to offer securities-based loans of up to $25 million through the program.
July 26, 2017
FINRA Names Schroeder New Enforcement Head, Plans New UnitThe unit will ensure a "uniform approach to charging and sanctions" and help FINRA "better target developing issues."
July 26, 2017
Centennial State Sets Cybersecurity ExampleJustin Kapahi, VP at External IT, is excited about new cybersecurity regulations for financial firms that were recently passed in Colorado.
July 25, 2017
$2M Wells Fargo Team Moves to JanneyThe recruiting news comes just days after a scathing report about the bank's release of private information on 50,000 clients and advisors.