Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Indie Broker-Dealers Face Struggle to Survive: Cerulli
By Joyce HansonThe things that advisors love about independent broker-dealers also give rise to the problems that make survival difficult in the channel, according to a Cerulli report.
April 27, 2012
FINRA to Hike BD Fees in Effort to Recoup ‘Significant Loss’FINRA CEO Richard Ketchum told BDs that the broader economic downturn "has led to a decrease in FINRAs revenues and resulted in a significant loss for fiscal year 2011.
April 26, 2012
Key Findings of fi360-AdvisorOne Fiduciary Survey of AdvisorsBoth brokers and advisors in our second annual AdvisorOne-fi360 Fiduciary Survey agree on much, but the findings suggest a disconnect between registered reps and their leaders.
April 25, 2012
Can Brokers Really Avoid a Fiduciary Duty Without Hurting Their Business?Following up on comments made by a reader on previous blogs, why would a fiduciary standard for brokers actually force broker-dealers to take a hit?
April 25, 2012
Creating a Future-Ready Natural Gas Industry NowMy top priority for this year as chairman of the American Gas Association (AGA) is ensuring that our customers, regulators and elected officials are confident in our ability to safely deliver our product.
April 25, 2012
How Are Advisors Managing in a Low-Rate Environment?While the Federal Reserve's reaffirmation Wednesday of its zero-rate policy is great news for home buyers, low rates remain a significant challenge to retirees and their financial advisors...
April 25, 2012
Bachus, McCarthy Introduce SRO RedraftHouse Financial Services Chairman Spencer Bachus reintroduced on Wednesday his draft bill calling for an SRO for advisorsone week after industry sources told AdvisorOne that an SRO bill was imminent.
April 24, 2012
The 2012 IA 25Some people ride a wave and some people, like the honorees of the 10th annual IA 25, create a wave.