Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The DOL Fiduciary Rule Is Here. What Should Advisors Do Next?
By Bernice NapachAn Envestnet webinar for advisors laid out several steps advisors can take to comply with the new rule.
April 28, 2016
Ameriprise Weighs Adding Advisors as Regulation Squeezes RivalsDOL fiduciary rule opens up opportunities, CEO says; firm has devoted about 400 people to deal with its impact.
April 28, 2016
Raymond James Focusing on Diversity for Future GrowthThe firm and its advisors are expanding the scope of efforts to boost blacks and women in the business.
April 28, 2016
White House Offers More Ways for Student Loan Borrowers to Avoid DefaultNew initiatives from the Education Department and CFPB help borrowers identify the best repayment options.
April 27, 2016
Chris Paulitz: FSI's Quiet Force — The 2016 IA 25The face of FSI is clearly Dale Brown, but theres been another consistent, knowledgeable and effective force helping FSI grow its membership and influence.
April 27, 2016
Raymond James CEO: Deutsche Deal ‘Accelerates Shifts’ in HNW SpaceCEO Paul Reilly also explains why and how the DOL fiduciary rule is frustrating, entailing costs across the industry.
April 27, 2016
Recruiting Roundup: Royal Alliance Adds 2 Teams; Merrill Names Market ExecsMeanwhile, Focus Financial says two partner firms have expanded their operations.
April 27, 2016
Fee-Only Fiduciary Confusion From the CFP BoardA reader's use of the CFP Board as the poster boy for run-amok regulation over seemingly nebulous definitions, like fee-only, is sobering.