Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
How to explain compensation to your clients
By Danny SarchThinking about changing broker-dealers? Are you ready to disclose the compensation you receive from the new firm as part of the recruitment deal?
January 29, 2014
National Financial Chief Sees ‘Tremendous Opportunity’ for Survivors of BD ConsolidationNational Financial chief says weak players have been winnowed out of the broker-dealer space, with successful firms leveraging their partners.
January 28, 2014
Focus Draws $1B UBS Breakaway TeamRaymond James tweets its recruiting news, as Morgan Stanley and UBS share their latest advisor deals.
January 28, 2014
‘Improving’ FINRA Among Top Goals for BD LobbyFSI executives say the self-regulator needs greater efficiency and cost-benefit analysis in rulemaking.
January 28, 2014
FSI Celebrates 10th Anniversary ‘Where the Action Is’Business consultant John Spence kicked off FSI OneVoice with a blizzard of advice for the nearly 800 IBD attendees.
January 27, 2014
SEC Takes Aim at Rollovers, Never-Before Examined IAsThe Securities and Exchange Commission announced its examination priorities for 2014 in mid-January, and like FINRA, the SEC will also focus on advisor and broker-dealer IRA rollover activity this year.
January 27, 2014
Harold and FiduciaryWe knew Harold Evensky has been a proponent of the fiduciary standard for advice givers for some time and that he was a leading light of the Institute for the Fiduciary Standard. So we asked the Institutes co-founder, Knut Rostad, to comment on Evenskys contributions.Ed.
January 27, 2014
12 Best & Worst Broker-Dealer 401(k) Plans: BrightScopeThe advisors own 401(k) plans at some of these BDs are lacking, BrightScope ratings show.