Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC Shortens Trade Settlement Cycle to 2 Days From 3
By Bernice NapachThe T+2 rule is designed to enhance efficiency and reduce risk, the SEC says.
March 21, 2017
Raymond James Nabs More Merrill, Wells Fargo TeamsThe groups join in Virginia and Pennsylvania with client assets of about $350 million and $138 million, respectively.
March 21, 2017
Texas Judge Denies Emergency Request to Block DOL Fiduciary RuleThe industry groups failed to satisfy four factors required to obtain an injunction pending appeal.
March 21, 2017
March Madness: LPL’s ‘Sweet 16’ Bracket for the MarketAs the basketball bracket comes into focus, so should multiple factors influencing equities, says CIO Burt White.
March 20, 2017
Female Advisors More Likely to Be Fired for Misconduct Than Male Advisors: NBER StudyStudy found the financial industry is willing to give male advisors a second chance, while female advisors are likely to be cast from the industry.
March 20, 2017
FINRA Hires Senior Advisor to CEO CookNathaniel Stankard will provide advice on such issues as FINRAs strategic review of its operations.
March 20, 2017
How Trump Presidency Is Boosting Demand for Impact Investing, ESG FundsTrump's executive orders and proposed budget cuts affecting environmental and social programs are increasing demand for impact and ESG investments.
March 16, 2017
C Corp, S Corp or LLC for Breakaway Brokers? Each Has Tax ImplicationsBefore making any choices, breakaway brokers should consult an experienced tax attorney or accountant familiar with the industry.