Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
More Advisor Exams Loom
By thinkadvisorWhile boosting oversight of advisors via user fees, third-party examiners or a separate self-regulatory organization was dead politically this year, none of those issue has gone away, says Brian Hamburger, CEO of MarketCounsel, and more advisor exams are likely on the horizon.
September 28, 2015
Most Advisors Use Smart Beta, Whether They Know It or Not: RussellDefining smart beta ... continues to be a point of confusion for financial advisors, says a Russell report with several illuminating findings.
September 28, 2015
Old-drug price hike ‘perversion of the system,’ Biogen CEO saysThe incoming chairman of PhRMA calls the Turing Pharmaceuticals move naive.
September 28, 2015
Broker-Dealers and the Fiduciary RuleScenario 4: The DOL enacts its fiduciary rule. How does this change the way you charge and disclose fees? Which clients are most affected? How seriously does it affect your business?
September 25, 2015
AIG Advisor Group Adds Business Exec Ahead of ConferenceTodd Fulks, formerly of FP Transitions, will oversee advisor succession planning and acquisition.
September 24, 2015
LPL-Affiliated RIA Merges With Bank-Focused Wealth GroupThe deal gives some 500 IFP advisors acccess to a large number of bank clients and accounts, the two firms say.
September 23, 2015
UBS Nabs $1.3B Merrill Team; Wells Fargo Grabs $1B Morgan Stanley RepsMeanwhile, Raymond James recruits groups with more than $800 million in client assets to its employee channel.
September 23, 2015
LPL to Pay $3.2M Over Sales of Nontraded REITs, Leveraged ETFsA settlement was reached with NASAA, Massachusetts and Delaware attorneys general.