Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Top 7 things brokers hate about PPACA
By Kathryn MayerA survey from benefits technology firm Benefitter paints a detailed portrait of broker dissatisfaction.
February 02, 2015
A Simple Solution: Let's Call an Advisor an AdviserOver the past year or so, many advisor industry observers have become disillusioned about the SEC's chances of complying with its Dodd-Frank mandate to create a fiduciary standard for brokers that's no less stringent than the 1940 Act.
January 30, 2015
How long does it take to buy an exchange plan?Agents and navigators say enrollment takes 60 percent to 260 percent longer than analysts had hoped.
January 30, 2015
‘RIA-ization’ Transforming Advisor IndustryAdvisors have lots to consider when using a corporate RIA or starting their own, says a panel at FSI OneVoice 2015.
January 29, 2015
BD Audits Failing to Meet New StandardsAfter inspecting five BD audits and finding none met new PCAOB standards, the accounting board urged auditors to ensure they understood the new rules.
January 28, 2015
Ameriprise Q4 Profits Beat Estimates on Strong Wealth ResultsAverage advisor fees and commissions were nearly $500,000 in 2014.
January 28, 2015
Cetera, LPL, Ladenburg Losing Appetite for M&A, Their Execs SayAfter long acquisition sprees in recent years, execs from Ladenburg, LPL and Cetera express little interest in more BD deals at FSI OneVoice.
January 27, 2015
FSI Chair Blasts White House Fiduciary Memo as ‘Offensive’FSI Chairman and Cetera President Antoniades says the memo's "ignorance" is "frankly offensive"; FSI also says its fighting FINRA's CARDS plan.