Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
5 Big FINRA Moves in the Last 12 Months
By Melanie WaddellThe BD regulator has gotten the go-ahead to make several adjustments over the past year.
July 16, 2026
Nearly a Third of Commonwealth Advisors Left After LPL Acquisition: ReportRaymond James has been a major destination for former Commonwealth wealth management professionals.
July 15, 2026
Ex-Ameriprise Rep Wins $200K, Expungement in Defamation CaseBrooke Pilant claimed defamation, intentional misrepresentation and tortious interference. A FINRA arb panel agreed.
July 10, 2026
Advisors, Take Note: SEC Rule Revamps Are on the WayThe agency's just-released Reg Flex agenda for 2026 includes several hot-button issues for advisors.
July 09, 2026
Best & Worst Firms for Advisor Satisfaction: JD Power, 2026Advisors with effective AI tools at work report higher satisfaction and more loyalty to their current firm.
July 08, 2026
Call for FINRA to Update Document-Request Rules Draws ScrutinyThe Rule 8210-related changes, part of a larger report, would make it easier for firms to block enforcement, PIABA's president argues.
July 06, 2026
New Bill Allows RIA Clients to Qualify as Accredited InvestorsIndustry trade groups applauded the Informed Investor Access Act.
June 29, 2026
Merrill to Pay $7.5M for Failing to File Suspicious Activity ReportsMerrill failed to investigate certain types of events under a BofA risk scoring system, the SEC said.