Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
What’s the Chance Schwab Will Buy LPL?
By Janet LevauxIndustry consultants dont mince words when it comes to a rumored merger of two large players in the financial space.
November 15, 2016
Should Students Be Financially Literate Before They Take on College Debt?Financial literacy courses could help student borrowers avoid delinquency or default, according to the director of GW's financial literacy center.
November 15, 2016
SEC’s White: No SEC Fiduciary Rule Coming Before JanuaryIn her final House Financial Services panel testimony, White also said that the agency is still significantly underfunded.
November 15, 2016
BD Charged With Fleecing Seniors With Unsuitable Products, High-Pressure ContestsIn one case, a woman dying of cancer in Massachusetts was pressured to buy a variable annuity.
November 14, 2016
Advisor Group Says Price ‘Is Right’ for CEO SlotThe IBD firm, which has some 5,000 reps, taps a former wirehouse and tech executive for the position.
November 14, 2016
Attracting the future producer: millennialsMillennial producers have different needs than their older counterparts, and they may be more willing to jump ship if they aren't happy in their career.
November 11, 2016
The Chilling Effect of an Over-Zealous FINRA's GibbetingAs FINRA puts the regulatory thumbscrews on broker-dealers, stepped-up policing trickles down to the advisor level. It's not a good development.
November 10, 2016
LPL Hosting First Stand-Alone Event for Female AdvisorsThe conference is bringing together 100 registered reps and others to focus on leadership, wellness and more.