Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL Names 20 Fund Families on New Fiduciary-Friendly Platform
By Janet LevauxSome familiar names make the list of no-load mutual funds that will be offered, with several notable exceptions.
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 10, 2017
Schwab Expands Commission-Free ETF OfferingsSchwab has added 15 ETFs to the platform, including stock, bond and commodity ETFs, plus one focused on MLPs.
July 10, 2017
280 CapMarkets Launches Muni Bond Trading and Pricing Platform for AdvisorsThe platform will provide access to essentially the entire muni market as well as price transparency.
July 10, 2017
Bernard Health Expands Partnership With Financial Advisors: Portfolio ProductsAlso, MSRB launched a free, scenario-based course to educate advisors and investors about municipal bonds.