Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
12 Worst Financial Advisors in America: 2012
By Ronald PechtimaldjianAdvisorOne found BrokerCop.coms list and ranked each Advisor Horribilis from the past year in reverse order of horribleness, balancing amount of money stolen with amount of ick factor involved.
July 24, 2012
Brokers Manage Products; Investment Advisors Manage ProcessThe absurdity of suggesting that investment advisors and broker-dealers often provide indistinguishable services demonstrates a stunning depth of misunderstanding regarding the two industries.
July 24, 2012
Top 5 Risks Related to Online Account OpeningProper collection of account data at the onset can improve the customer experience and business workflow at all points in the investment cycle.
July 23, 2012
FSI Urges SEC: Don’t Let FINRA Raise FeesDale Brown worries about humongous compliance costs; group concerned over timing, context and size of fee increases.
July 20, 2012
Commonwealth Financial’s McMillan Launches Blog on Economy, MarketsThe BDs chief investment officers musings are aimed at educating advisors and their clients.
July 20, 2012
Resolved: FINRA Should Review These 10 Outdated RulesFINRA should heed the advice of a recent GAO report and revisit these rules, which the authors humbly suggest either no longer work as intended, or have effectively been replaced by other rules or guidance.In response to the GAO recommendation,
July 16, 2012
FINRA’s New Suitability Rule Edges Closer to ‘Fiduciary’: NAPFA ChairmanRon Rhoades, the chairman of NAPFA, says the rule's biggest challenge is that a BDs investment strategy must now meet suitability requirements.
July 12, 2012
National Financial Partners Buys Fusion Advisor NetworkFusion, a consulting network to advisors, will become part of BD NFP Advisor Services Group; its founder, Stuart Silverman, will remain.