Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
FINRA’s Ketchum: Complex Products Still Need ‘Heightened Supervision’
By Melanie WaddellDuring the SEC's National Compliance Outreach Program for Broker-Dealers, Ketchum pointed to three areas that FINRA was focusing on.
April 05, 2013
Thornburg, fi360 Team Up for Fiduciary Training SymposiumThornburg's symposium featured the fi360 AIF capstone course and exam. What are your thoughts on fiduciary responsibility? Please take the AdvisorOne-fi360 Fiduciary Survey, which closes today.
April 03, 2013
Top 10 Fund Brands: RIA, IBD, Wirehouse Advisors’ FavoritesWhen it comes to naming names, advisors predictably pick all the big fund firms as their favorites. But look at Phoenix's survey more closely, and fascinating patterns are revealed.
April 03, 2013
Fiduciary Survey Closes FridayLast chance for RIAs, brokers and dually registered advisors to make their voices heard on fiduciary debate at the SEC and the DOL.
April 01, 2013
Raymond James-Morgan Keegan Fully IntegratedRaymond James said in early March it had wrapped up the conversion of Morgan Keegan operations and clients into Raymond James technology systems, and the Morgan Keegan brand had been retired.
March 29, 2013
Bitcoin is now a billion-dollar industryThis fast-growing financial trend portends strange new possibilities in the world of online commerce and finance.
March 28, 2013
FSI Names Derek Bruton, Seth Miller to Its BoardThe independent BD association names replacements for Bill Dwyer of LPL and Jim Livingston of National Planning Holdings.
March 27, 2013
Securities America Recruited Production Jumps More Than 300% in ’12This includes the recent addition of two groups with a total of roughly 160 financial advisors.