Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
DOL fiduciary rule puts broker-dealers in Catch 22
By Nick ThorntonWhile no fan of the DOL's proposal, Michael Kitces nevertheless points out a damaging flaw in the insurance industry's core argument against it.
August 04, 2015
Big Jump in Advisory Firms in 2015The number of SEC-registered advisory firms grew more than 5% since 2014, the largest increase in four years, a report from IAA and NRS says.
August 04, 2015
FINRA BrokerCheck Plan Gets More FlakThe IBD lobby wants clarity for indie reps, while NASAA wants the rule to include email signatures.
August 03, 2015
FINRA Fines Aegis $950,000, Suspends Top ExecsThe charges are linked to unregistered penny stocks, sold by groups based in Turks & Caicos.
July 31, 2015
1 in 10 Advisors Have Never Heard of Robos: SurveyA survey from Jefferson National identifies some misperceptions the industry has about robo-advisors.
July 31, 2015
‘Dissident’ Candidate Elected to FINRA BoardBrian Kovack campaigned on the need to reform FINRA's arbitration process, exams and registration disclosures.
July 30, 2015
Cetera Shuttering Broker-Dealer, Pushing Out Some RepsRecruiter says about half of the J.P. Turner advisors have been invited to join Summit Brokerage.