Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
SEC’s uniform fiduciary rule could ‘haunt’ advisors
By Melanie WaddellA uniform fiduciary standard for brokers and advisors is not going to work, according to one industry expert.
September 15, 2014
7 Ways to Avoid Picking a Bad AdvisorIf a veteran Wall Street Journal editor covering wealth management gets duped by his advisor, Eric Nelson says, what chance do ordinary investors have?
September 15, 2014
Schwab, TD Ameritrade Report 3% Monthly UptickTD Ameritrade also says it has expanded its online education site for RIAs.
September 12, 2014
Advisor M&A, the Alpha WayWhat separates the best from the rest is of particular concern to advisors seeking to extract value from the practices they've devoted their careers to.
September 12, 2014
FINRA Mulls Revised Broker Bonus PlanFINRA plans to consider a revised recruitment practices proposal that looks to omit the controversial retention deal aspect of the original plan.
September 11, 2014
BDs, Trade Groups Team Up to Clarify Murky BD FeesFINRA, SIFMA and other groups, with LPL and other BDs, have joined forces to develop rules that ensure BDs fees are easily understood by investors.
September 09, 2014
Mariner Holdings Acquires Flyover CapitalMariner's newest acquisition, Flyover Capital, will provide access to investment opportunities in early-stage technology companies in the Midwest.
September 09, 2014
12 Best & Worst Broker-Dealers: Q2 Earnings, 2014Some of Wall Streets major players still struggle with litigation expenses; many are finding ways to further boost their wealth results.