Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How Raymond James Grabbed a $2.9B Merrill Team
By Janet LevauxThe long-time Merrill reps say they needed a flexible platform and low-cost funds to compete.
November 17, 2015
Advisors Take Note: Compliance Officers Are WatchingYet only 51% of compliance officers in a Schwab survey said they were very confident that their monitoring policies were effective.
November 16, 2015
AR Capital to Stop New Issues, Cetera Suspends Related Product SalesAtmosphere at Schorsch-founded entities continues to deteriorate days after regulators announced a fraud investigation of RCS Capital.
November 16, 2015
Scottrade to Pay $2.6M FINRA Fine Over Email Retention FailuresScottrade failed to adhere to federal securities and FINRA rules under the 'Write-Once, Read-Many' or WORM format
November 13, 2015
Slim Chance to Stop DOL Fiduciary Rule, but Brokers Must Keep Fighting: Rep. MulvaneyMulvaney told Commonwealth reps to tell senators that we will no longer be able to serve middle-class people who need us the most.
November 12, 2015
Cybersecurity: A Checklist for AdvisorsFinancial advisors know all too well that they need to protect their business from cyberattacks, but the problem may be bigger than many imagine.
November 12, 2015
RCS Capital Charged With Proxy-Voting Fraud; NYSE May Dump StockMassachusetts regulators say RCS Capital employees impersonated shareholders and voted for a proposed deal with Apollo.
November 12, 2015
Stock Jocks Get Their Knocks at BDsThe number of transactional representatives will shrink further as their risk versus reward to BDs no longer supports their businessand compliancemodels, Jon Henschen writes.