Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Genuine Gratitude
By Janet LevauxIndustry conferences give you the chance to take a new look at your job, your life and your view of success.
May 29, 2017
As Indie BDs Dwindle, Is FINRA Outdated?Brad Bennett, former head of FINRA enforcement, said that some brokers are becoming investment advisors to minimize their regulatory burden.
May 26, 2017
DOL Looking for Reason to Delay Full Fiduciary Compliance Date: LawyerThe department says it will issue a Request for Information; the findings could give it cover to delay past Jan. 1, lawyer Erin Sweeney says.
May 25, 2017
Amy Webber — Next-Gen Nurturer: The 2017 IA 25Cambridge's new CEO credits her early start in the industry as a reason for her passion to support the next generation of independent advisors.
May 25, 2017
Raymond James Adds 2 Teams from Wells Fargo: Recruiting RoundupMeanwhile, HighTower brings on a breakaway group from Merrill Lynch in Florida.
May 24, 2017
BD Stocks Feel Bite as DOL Fiduciary Deadline NearsMeanwhile, financial analysts say Trump could bring broker-dealers, insurers and asset managers relief from some aspects of the reform package.
May 23, 2017
A 7-Point Checklist for Advisors to Protect Against CyberattacksFormer Homeland Security Secretary Michael Chertoff offers his recommendations on how financial firms can prevent or limit the impact of an attack.
May 23, 2017
Merrill to Pay Fine Over Trading, Disclosure IssuesMore than 1,000 trades were not executed to get clients the best prices, and investors didn't get compensation info on thousands of trades.