Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Clock Ticking on Advisors' Compliance With SEC Pay-to-Play Rules
By Melanie WaddellNow that FINRA, MSRB have filed pay-to-play rules with SEC, compliance with third-party solicitor provision at hand.
December 29, 2015
4 resolutions that will boost your practice in 2016With a little stick-to-itiveness, perhaps these tips will last longer than the typical New Years resolution!
December 28, 2015
The Hole in the (Fire)Wall GangThe financial industry can consider it a sure thing that cyber-risk will hit different segments in different ways in the year ahead.
December 28, 2015
New Resolutions for Old ChallengesAs we head into 2016, a final rule from the DOL defining who is a fiduciary when giving retirement advice is finally, maybe, on the horizon and a looming talent shortage threatens to stymie advisory firm growth.
December 28, 2015
Raymond James Makes HNW Push Via Deutsche-Bank Deal in U.S.Raymond James’ announcement in December that it is acquiring the U.S. private wealth business of troubled Deutsche Bank confirmed industry speculation.…
December 28, 2015
Before DOL Fiduciary Rule Change, Time to Act on Fees Is NowIf you're not fee-based, here's your action plan before DOL's rule takes hold, according to marketing expert Bill Good.
December 28, 2015
4 Factors That May Cause a Flood of Broker-Dealer SalesWith almost 15,000 reps at various broker-dealers looking to get bought, we may be headed for a flood of broker-dealer sales as prospects for their future profitability fade.
December 23, 2015
Compliance team looks at how HealthCare.gov issuers are overseeing YOUReviewers found widespread problems with credentials verification and NPN tracking.