Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Future of Robo-Advice
By Melanie WaddellAs broker-dealers and asset managers adopt robo technology, pure-play robo-advisors will morph into offerings that also offer a human touch.
August 21, 2016
15 Years LaterIn our annual editorial roundtable with the leaders of our Broker-Dealers of the Year, I took time out to ask what they remembered about 9/11.
August 19, 2016
12 Best & Worst Broker-Dealers: Q2 Earnings, 2016Like in Q1, profits for financial firms generally moved in the same direction, with one exception.
August 19, 2016
Securities America to Buy Foothill Securities' Advisor BusinessIn the deal, Securities America will add up to 210 advisors with some $5 billion in assets.
August 19, 2016
Hundreds of thousands of 401(k)s up for grabs after DOL fiduciary ruleIf and when the U.S. Department of Labors fiduciary rule survives several legal challenges, the small and midsize 401(k) plan market stands to be revolutionized.
August 18, 2016
DOL Fiduciary Rule Hits BDs’ IT Budgets, Product LinesBroker-dealers have to make a lot of very difficult, and in some cases expensive, decisions, ERISA lawyer Fred Reish says.
August 18, 2016
Recruiting Roundup: Dynasty, Triad Pick Up Large Advisor GroupsMeanwhile, Merrill Lynch & U.S. Trust report their newest registered reps.
August 18, 2016
Does Banking Deserve Its Bronze Medal From the WSJ?The Wall Street Journals take on the publics feelings about Wall Street squanders a huge opportunity to address consumers' continuing distrust of the industry.