Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
S&P 500 to Hit 5,100 in 2024: Goldman Sachs
By Farah ElbahrawyThe bank's strategists join Wall Street peers like Bank of America in expecting a fresh high for the index next year.
December 14, 2023
Citigroup Offers Partial Early Bonuses to Encourage Staff DeparturesAlong with the bonus awards, employees who accept the offer could also keep all of their deferred stock awards.
December 13, 2023
Would New DOL Fiduciary Rule Curtail Advice Access? No Way, Consumer Groups TestifyAt a DOL hearing, the Consumer Federation of America called this industry argument "a scare tactic."
December 12, 2023
Why Some Financial Firms Are Wary of AICompanies face hurdles in using generative artificial intelligence, according to a recent EY survey.
December 11, 2023
FINRA Releases Reg BI NoticeThe notice points broker-dealers to various SEC resources to help them comply with the best-interest rules.
December 08, 2023
FINRA Tried to Ban Firm for 60,000% Fee Hike. It's Fighting Back.Alpine and three other firms are challenging FINRA's power in court; the Supreme Court may rule on the matter next year.
December 07, 2023
Treasury Rally on Fed Bets Is Just Getting Started: BofAThe bank forecasts the benchmark yield to end next year at 4.25%, not too far off current levels.
December 07, 2023
Best & Worst Broker-Dealers: Q3 Earnings, 2023The latest earnings included a big loss for one firm, declines for four and stronger results for six.