Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SIFMA’s Bentsen: DOL Rule Will Have Unintended Consequences
By Bernice NapachSIFMA president also blasted the Obama administration's comments that the brokerage industry's business model "rests on bilking" clients.
April 06, 2016
DOL Fiduciary Compliance: Colleen Bell on the Cambridge ApproachCambridge Investment Research is one independent BD taking a proactive stance in responding to the DOL fiduciary rule. Colleen Bell leads the way.
April 05, 2016
FINRA, SEC Targeting EB-5 Immigrant Investor ProgramAn immigration program that's attracted $8.7 billion in investments in U.S. businesses is under regulatory scrutiny.
April 04, 2016
Top Portfolio Products: New Tools to Compare Funds and ETFsThese new products can help advisors and investors choose among the myriad funds and ETFs on the market.
April 04, 2016
NFP Advisor Services to Be Sold, RenamedThe group, which serves about 1,700 reps, is set to be bought by Stone Point and become Kestra Financial.
April 04, 2016
How to Increase Financial Literacy? Start Young, Train TeachersBy the time students reach college and take on heavy debt loads, valuable lessons have been missed, PwC warns.
April 01, 2016
April Fool's Day comes early with Pfizer press release hoaxIn the fake release, the "company" said it would cease routine price increases.
March 31, 2016
IMCA Members Are Increasingly IndependentIMCA members tend to be independent advisors and consultants who serve families, according to a survey released Wednesday by the organization.