Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Recruiting Roundup: UBS Nabs 4 Ex-Merrill Reps in Florida
By Marlene Y. SatterMeanwhile, Raymond James adds a husband-and-wife team in Dallas to its employee channel.
August 19, 2015
Recruiting Roundup: UBS Picks Up Morgan Stanley RepsMeanwhile, LPL, Ameriprise and Wells Fargo reveal their latest recruiting coups.
August 19, 2015
When Managing Trading Data, Ditch the SpreadsheetAs technology has made trading more advanced, its also put more pressure on firms to manage and store all that data.
August 19, 2015
PPACA exchange may transfer callers to brokersMaryland hopes to start live tests in September.
August 19, 2015
FINRA Sweeping BDs on Comp PracticesRecruiter Jon Henschen says FINRA treats BDs like "moonshiners," made to pay "extortion money" in the form of fines for breaking ever-more convoluted rules.
August 18, 2015
DOL Fiduciary Rule Will Cost Firms $3.9 Billion: FSI StudyProjected startup costs range from $1.1 million to $16.3 million per firm, according to a study by FSI and Oxford Economics.
August 18, 2015
LPL Grabs Wells Fargo Advisors’ Tech ChiefAnthony Perkins is tapped to be the IBD's head of technology product development.
August 17, 2015
Top Portfolio Products: New Socially Responsible Funds From TIAA-CREFNew products and changes introduced over the last week also include plans for global environmental, social and governance scores from Morningstar.