Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Top Portfolio Products: Additions and Subtractions for Direxion ETFs
By Marlene Y. SatterDirexion announced two new ETFs plus splits for five ETFs that rallied sharply and reverse splits for four that suffered large losses.
July 26, 2016
SEC Launches Exam Sweep of RIAs’, Broker-Dealers’ Share Class PicksThe sweep will identify conflicts of interest in recommendations for mutual fund and 529 plan share classes with substantial loads or distribution fees.
July 26, 2016
What Advisors Can Learn From the Gravedigger's DilemmaHow can the financial services profession restore its reputation and attract new talent? Some insights from Hungarian gravediggers.
July 26, 2016
How to Handle Client Setbacks: Advice From 6 Industry GurusAnyone in the planning business knows the humbling adage, Man proposes, but God disposes. Or more colloquially, Stuff happens.
July 26, 2016
A Summer of Broker-Dealer DiscontentFrom fines to financial pressure and recruiting woes, employee-advisor firms are facing significant challenges this summer.
July 26, 2016
Is Private Equity IBDs’ Savior or Sorcerer?Several years ago, I attended a third-party recruiter gathering hosted by an insurance-owned broker-dealer that was working to attract advisors.
July 22, 2016
HealthCare.gov wants Web brokers' names on all printout pagesA recent enrollment update also includes a major new section on 1095-A coverage notice problems.
July 21, 2016
Recruiting Roundup: RBC Wealth Adds 2 Teams From RivalsMeanwhile, Cetera, Deutsche Bank and Snowden Lane say they have picked up new advisors as well.