Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
LPL to Buy Atria Wealth Solutions for $805M
By Janet LevauxThe move could add about 2,400 advisors and $100 billion of brokerage and advisory assets to the IBD.
February 07, 2024
Advisors Tap Into Personalized Content Marketing, With AI Help: StudyNext-generation technology can contribute to meeting clients' high-touch expectations, Broadridge research found.
February 06, 2024
More Reg BI Actions on The Way: FINRA Enforcement ChiefFINRA is also looking to improve communication and resolve cases faster, Bill St. Louis says.
February 05, 2024
T+1 Starts in May. Are You Ready?Under the new settlement cycle, most securities transactions will settle on the business day following their transaction date.
January 29, 2024
Raymond James Revamps Independence Plus PlatformIt has expanded services for transitioning advisors, who can now pick and choose more options for how they set up, run and grow their firms.
January 26, 2024
JPMorgan Shuffles Top Managers as Jamie Dimon Prepares SuccessorsThe shuffle, halfway through Dimon's five-year retention package, affects Marianne Lake, Jenn Piepszak and Troy Rohrbaugh.
January 24, 2024
New FINRA Home Office Rules Take Effect in JuneFINRA also set a launch date for a three-year pilot program for remote inspections.
January 23, 2024
BD Crypto Communications Not Up to Snuff: FINRAA report found that 70% of retail communications potentially violate a rule on fair and balanced interactions.