Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Does the DOL threat require a Plan C?
By Maria Ferrante-SchepisIf attempts to fight and alter the proposed DOL fiduciary rule fail, what can we as an industry do?
February 24, 2016
14 Midmarket BDs Form New Lobbying GroupRaymond James, Baird, Stifel and other members want to promote middle-market, regional firms through the American Securities Association.
February 22, 2016
DOL Fiduciary Rule Will Accelerate Broker-Dealer ClosingsThrow in continued stock market weakness and many BDs, especially smaller ones, will be forced to close their doors.
February 22, 2016
13 Public Colleges With the Best ROI: Princeton ReviewGraduates of these schools can expect great career prospects and don't have to mortgage their futures to pay for their degrees, The Princeton Review says.
February 22, 2016
Are You a Salesperson or an Advisor?The better we serve our clients, the more referrals we will receive, which leads to business longevity.
February 22, 2016
Top Portfolio Products: New Options From RetireUp and Guardian InsuranceA new database from Stanford Law School and Sullivan & Cromwell could help advisors stay compliant with the Foreign Corrupt Practices Act.
February 19, 2016
Humana and Aetna talk about producersThe companies give glimpses of their distribution thinking in new SEC filings.
February 18, 2016
FINRA to Examine BDs for Conflicts of InterestWith compliance costing the industry $300 billion since 2010, the self-regulator wants BDs to answer questions on "cultural values" in a targeted exam.