Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
3 Steps to Moving Your Book to Fee-Based
By Gil WeinreichConverting to fee-based was the hot trend in the 90s, yet advisors still seek help getting skeptical clients on board, SEIs John Anderson says.
June 02, 2014
Top 12 Tech Trends Impacting Advisors: Mary MeekerAnalyst Mary Meeker draws attention to everything from social media to cybersecurity in her latest talk.
May 29, 2014
12 Best & Worst Broker-Dealers: Q1 Earnings, 2014This quarter saw surprising performance dips and peaks across the financial sector.
May 27, 2014
Regulating Cybersecurity; Understanding Social Security: June Investment Advisor Features—SlideshowProtecting their personal information, much of which is stored online nowadays, from hackers is an important individual responsibility, but for financial advisors there is an added responsibility to protect their clients data from thieves.
May 27, 2014
The 2014 Broker-Dealer Presidents PollOur fifth annual Broker-Dealer Presidents Poll found the leaders of independent broker-dealers are optimistic even though theyre still smarting from the costs of staying compliant.
May 27, 2014
SEC's Gallagher: Fiduciary Debate Is UnfairDaniel Gallagher, one of the Securities and Exchange Commission's two Republican commissioners, has been very vocal as of late regarding his belief that the agency doesn't need to write a rule to put brokers under a fiduciary mandate.
May 27, 2014
The 2014 Broker-Dealer Reference GuideSome observers of the independent broker-dealer universe might be tempted to explain its current state by counting the acquisitions that Nicholas Schorsch's Realty Capital has made over the past year.
May 27, 2014
Raymond James, the New Borders Bookstore?Fiduciary advocates need to reframe the battle: think "disruptive innovation," as has happened to book publishing and is happening to BDs.