Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Fiduciary vs. Broker: It’s a Matter of Cost
By Bob ClarkHere's what I think caused the rift between brokers and their BDs.
November 30, 2015
Experts: ‘Post-DOL World’ Is ComingThe FSI left attendees of the Financial Advisor Summit with a sober reminder of what lies ahead: a final version of DOL's new fiduciary rule is expected in early 2016.
November 24, 2015
Recruiting Roundup: UBS, Others Nab More Credit Suisse RepsMeanwhile, Raymond James recruited a group of breakaway brokers and several Wells Fargo FAs.
November 23, 2015
Currency Spoofing Is Said to Be in New York’s CrosshairsAttorney General Schneiderman's office said to be investigating placing of fake foreign-exchange orders, known as "spoofing" or "ghosting."
November 23, 2015
Broker-dealer advisors at historic crossroadsWith or without the DOL's urging via its fiduciary rule, the market suggests the end is near for the broker-dealer advisor business model.
November 23, 2015
Broker-dealer advisors at historic crossroadsWith or without the DOL's urging via its fiduciary rule, the market suggests the end is near for the broker-dealer advisor business model.
November 20, 2015
CMS hates some agents and other draft 2017 PPACA parametersA batch of draft regulations may also create a new family of standardized options plans.
November 19, 2015
Schwab, Fidelity Halt Sales of RCS, AR Capital Products, AgainThis news follows a recent decision by AR Capital to stop issuing new investment programs starting Jan. 1.