Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The real reason brokers oppose a fiduciary standard
By Paula DwyerOne industry group, the National Association of Plan Advisors, goes so far as to call the proposal the "No Advice" rule.
February 25, 2015
SEC Probing BDs’ Low Number of Suspicious Activity ReportsConsidering the volume of transactions and the nature of the BD industry, the SEC's top cop finds the dearth of SARs a little, well, suspicious.
February 25, 2015
Mr. Storey goes to WashingtonNAHU is at its best when all of its forces are mustered together here in the capital. It's at its best when it's firing up its base, engaging an otherwise disenfranchised lot.
February 25, 2015
12 Best & Worst Broker-Dealers: Q4 Earnings, 2014Heres how some of the biggest firms earnings compared over the fourth quarter.
February 25, 2015
How brokers are helping clients navigate PPACA tax complianceBrokers are expanding their role, yet again, to help clients navigate the uncharted waters of PPACA tax compliance.
February 25, 2015
How brokers are helping clients navigate PPACA tax complianceBrokers are expanding their role, yet again, to help clients navigate the uncharted waters of PPACA tax compliance.
February 24, 2015
RCS Capital’s Q4 Profits Crash on ARCP WoesThe firm reported a 70% drop in adjusted earnings, even bigger than analysts had expected.
February 23, 2015
Stifel-Sterne Agee Deal Is a Go for $150MThe merged firm should have more than 2,830 advisors and $200 billion in client assets.