Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How Advisory Firms Are Responding to Demographic Challenges
By Bernice NapachAt a SIFMA conference, execs discussed how they were bringing their firms and their recruiting practices into the future.
April 07, 2016
SIFMA’s Bentsen: DOL Rule Will Have Unintended ConsequencesSIFMA president also blasted the Obama administration's comments that the brokerage industry's business model "rests on bilking" clients.
April 07, 2016
Recruiting Roundup: $400M Merrill Broker Goes Indie With DynastyMeanwhile, LPL brings five advisors onto its brokerage platform in Ohio; SagePoint adds affiliated reps with $500 million.
April 06, 2016
What BD Presidents Think of DOL Fiduciary Rule, in 5 ChartsAn exclusive Investment Advisor magazine survey of the heads of independent broker-dealers reveals what they expect from the newly issued regulatory framework.
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.