Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Emboldened Borzi Is Back
By Melanie WaddellBolstered by another four years in her position under a re-elected Obama administration, Phyllis Borzi is adamant that EBSAs fiduciary rule will see the light of day this year.
January 16, 2013
BNY Mellon Boosts Profits 23%: Q4 EarningsClearing fees at Pershing unit rise to $294 million in the period and nearly $1.2 billion for 2012
January 16, 2013
Dually registered advisors saw fastest asset growthAssets under their management grew by 19.1 percent in 2012, compared to 14.7 percent for RIA-only advisors.
January 16, 2013
Dually registered advisors saw fastest asset growthAssets under their management grew by 19.1 percent in 2012, compared to 14.7 percent for RIA-only advisors.
January 15, 2013
Advisors May Still Lose Right to Earn Commissions on IRA AdviceThe Department of Labor will likely issue a reworked version of its fiduciary proposal in late Q1 or early Q2, and concerns about its potential impact remain very real.
January 15, 2013
FSI Adds 500 New MembersCetera Financial Services, run by Valerie Brown, and IEP Financial announced that 500 of their affiliated financial advisors are now new FSI members.
January 11, 2013
How to Add the Right People to Your Team, Pt. 2—The Interview and BeyondYou've identified some good candidates for a well-described job at your firm; here's how to make the interview process work and the crucial follow-up after you hire.
January 10, 2013
Four More Years? Fiduciary Proponents Need to RegroupTo prevent four more years of fiduciary gridlock in Washington, proponents of the fiduciary standard for all need to regroup. Proposed: four steps to change the discussion.