Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Provides Relief to Advisors, BDs From European MiFID II Rules
By Melanie WaddellThe action reduces the substantial uncertainty our members have lived under as they have tried to plan for implementation of MiFID II," said IAA's Barr.
October 27, 2017
New Beneficial Ownership Rules Around the Corner: Are BDs Ready?Starting May 11, 2018, compliance officers at broker-dealers will have one more responsibility to add to their checklists.
October 27, 2017
New SEC Task Force to Use Data to Root Out Advisor FraudThe task force will use data analytics to spot misconduct like mutual fund share class and wrap-fee account abuse.
October 27, 2017
More Retirement Plans Add Auto-Enrollment, Auto-Escalation FeaturesA survey by Alight Solutions covering nearly 10 million employees and $775 billion in assets found an increase in these savings-boosting strategies.
October 26, 2017
Raymond James Has Near-Record Recruiting YearExecs Scott Curtis and Tash Elwyn talk to ThinkAdvisor about why recruiting in the independent and employee channels is strong, with no sign of slowing.
October 26, 2017
Advisor Group Adding Succession, Communications PlatformsIt also formed a council to help address the financial risks of longer lifespans.
October 25, 2017
Ameriprise Tells Analysts It Likes AdvisorsThe company's chairman says he wants to use technology to support advisors, not to replace them.
October 25, 2017
$2B Trilogy Group Transitions From NPH to LPLIn other news, Ameriprise recruits Wells Fargo reps with nearly $370 million in assets.